PS_4060_-_Personnel_Security_Program.pdf

POLICY STATEMENT

Title Personnel Security Program

Number 4060

Effective Date December 17, 2015

Approval

Clifford T. Keenan, Director

PRETRIAL SERVICES AGENCY

for the

DISTRICT of COLUMBIA

PERSONNEL SECURITY PROGRAM

Table of Contents

Overview

Responsibilities

Procedures

Adjudications of Suitability and Fitness Investigations

Policy Statement 4060 Personnel Security Program Effective Date: 12/17/2015

Overview

Purpose The Director of the Pretrial Services Agency for the District of Columbia

(PSA) is responsible for establishing and maintaining an effective personnel security program to ensure that the employment and retention of any employee is clearly consistent with the interests of national security and the efficiency of the Federal service. This Policy Statement establishes procedures, assigns responsibilities, and provides guidelines regarding employment suitability and fitness1 with PSA as a Federal government agency.

The following principles governed by the Office of Personnel Management (OPM) and Title 5, Parts 731, 732, and 1400 of the Code of Federal Regulations (CFR) apply:

• All positions are assigned a designation using the criteria set by OPM.

The Position Designation Automated Tool (PDT) is used to assist in assigning a position designation and to identify the background investigation required of the position.

• Preliminary background checks are conducted on each employee or intern prior to coming on board or contractors being approved for duty.

• Employment or continued employment is subject to a suitability or fitness determination which may include a background investigation.

PSA will grant reciprocal recognition to a prior favorable suitability or fitness determination unless a new investigation is required by OPM, 5 CFR, or Executive Order.

• The adjudication guidelines established by the CFR and the OPM suitability processing handbook are used for all suitability determinations for covered positions.

• All suitability or fitness for Federal employment determinations and actions are reported to OPM. Information pertaining to suitability or fitness adjudications is maintained in accordance with OPM policy.

Supersedes Policy Statement 4060, Personnel Security Program, dated September 20, 2005.

Continued on next page

1 Suitability refers to a person’s identifiable character traits and/or conduct that may have an impact on the integrity of efficiency of the service. Fitness refers to a person’s level of character and conduct determined necessary for an individual to perform work for, or on behalf of, a Federal agency as an employee in the excepted service (other than in a position subject to suitability) or as a contractor employee.

http://www.ecfr.gov/cgi-bin/text-idx?SID=2d71ed5291374303d4c7fd0e104393c0&mc=true&tpl=/ecfrbrowse/Title05/5tab_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?SID=2d71ed5291374303d4c7fd0e104393c0&mc=true&tpl=/ecfrbrowse/Title05/5tab_02.tpl

Effective Date: 12/17/2015

Overview, Continued

Coverage This policy applies to all applicants, appointees, employees, contractors, and interns of PSA, hereafter referred to as “employees,” unless otherwise indicated.

Related Guidance

Policy Statement 4108, Standards of Employee Conduct Policy Statement 4090, Disciplinary and Adverse Actions.

Authorities Applicable statutory authority- Title 5 Code of Federal Regulations (CFR) Parts:

302-Employment in the Excepted Service;

315-Career and Career-Conditional Employment;

332-Recuritment and Selection Through Competitive Examination;

359- Removal from the Senior Executive Service; Guaranteed Placement in Other Personnel Systems;

731- Suitability;

732- National Security Positions;

752- Adverse Actions; and 1400- Designation of National Security Positions.

Privacy Act, December 31, 1974

Executive Orders:

13467- Reforming Processes Related to Suitability for Government

Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified National Security Information, June 30, 2008;

13488- Granting Reciprocity on Excepted Service Positions of Public Trust, January 16, 2009; and

10450- Security Requirements for Federal Employment, April 27, 1953, as amended.

OPM, Federal Investigative Services Division, Suitability Processing Handbook, September, 2008 OPM, Position Designation of National Security and Public Trust Positions, October, 2008

Administrator This Policy Statement is administered by the Office Human Capital Management (OHCM) for control and review.

http://mypsa/Policies/Standards%20of%20Employee%20Conduct.pdf http://mypsa/Policies/Disciplinary%20and%20Adverse%20Actions%20Overview.pdf http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5tab_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5cfr302_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?SID=fb0c1d87dc20356283d989143569a0b6&node=pt5.1.315&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5cfr332_main_02.tpl http://www.gpo.gov/fdsys/pkg/CFR-2011-title5-vol1/pdf/CFR-2011-title5-vol1-part359.pdf http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5cfr731_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5cfr732_main_02.tpl http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-part752 http://www.ecfr.gov/cgi-bin/text-idx?SID=e898207b21febd87b1d628be60e38817&mc=true&node=pt5.3.1400&rgn=div5 http://fas.org/irp/offdocs/eo/eo-13467.htm http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1574.pdf http://www.archives.gov/federal-register/codification/executive-order/10450.html

Responsibilities

OHCM

Director

Manages implementation of the Personnel Security Program for PSA.

OHCM • Designates the position risk and sensitivity of each position using OPM’s

PDT.

• Maintains and documents the final position designation and investigation summary, ensuring it contains the name of the official making the determination and the date it was made.

• Conducts pre-employment screening and submits request for preliminary background check to the OHCM Personnel Security Officer prior to appointment.

• Records the position risk and sensitivity designation with the position description and annotates requests for personnel action.

• Ensures job announcements and notices of personnel action clearly state the requirement for suitability and fitness determination.

• Ensures appropriate training and certification are provided to adjudicators through OPM approved suitability course and ensures that training records are properly maintained.

Personnel Security Officer

• Conducts preliminary background checks and notifies the appropriate parties, including the Contracting Officer/Contracting Officer’s Representative, as applicable, of results.

• Schedules and captures fingerprints.

• Assists with credentialing and badging.

• Determines reciprocity, recognizing favorable suitability or fitness determinations when the determination is based on criteria equivalent to standards established by OPM.

• Ensures a required investigation or reinvestigation is requested using OPM’s Electronic Questionnaires for Investigations processing (e-QIP).

For public trust positions, initiates the investigation, if required, before appointment, but no later than 14 calendar days after placement in the position.

• Adjudicates employment suitability and contractor fitness determinations as outlined in 5 CFR Part 731, completing the appropriate documentation including a final adjudicative decision in OPM’s Personnel Investigations Processing System (PIPS).

Continued on next page

Responsibilities, Continued

Personnel Security Officer, continued

• Consults with the OHCM Director in those situations where an employee is deemed ineligible for continued employment in the position because of changes in position sensitivity or increased risk, or due to activities or behaviors of the employee that are incompatible with the core duties of the position.

• Maintains the Security Manager database to schedule and monitor the status of required background checks, investigations and reinvestigations, and credentials/Personal Identity Verification (PIV) cards/badges.

• Ensures appropriate safeguarding of all investigative, sensitive, and classified information.

Office of Finance and Administration

(OFA)

Ensures funds are available for investigations required to determine eligibility for employment or continued employment.

OFA

Contracting Officer

Considers whether personnel security or clearance requirements are applicable and inserts appropriate Agency or federal security program requirements in PSA solicitations, contracts, agreements or other transactions.

In consultation with and approval by the OHCM Personnel Security Officer:

Designates the risk and sensitivity level of each position to be held by a contractor;

Provides and ensures completion and submission of required preliminary background check and PIV/badge forms for Agency contractors;

Coordinates and schedules fingerprinting of contractors;

Restricts contractor from entering on duty until security approval is received;

Ensures contractor completion and submission of required background investigation forms when requested; and Immediately notifies Court Services and Offender Supervision Agency

Office of Security when a contractor employee or the services of a contractor have been terminated and retrieves PIV card/badge from contractor and returns to OHCM.

Responsibilities, Continued

Applicants, Appointees, Employees and Contractors

• Complete and submit background investigation, reinvestigation, and/or any security forms when requested within the timeframe specified by the Personnel Security Officer.

• Remain knowledgeable of the current suitability or fitness standards and guidelines applicable to their position including PSA’s Standards of Employee Conduct, and how these standards can affect employment, continued employment or adverse actions.

Disciplinary Consequences

Refusal to complete required forms timely or provide full and truthful answers to lawful questions of investigators, security officials or other official representatives in connection with a suitability determination or investigation by an applicant, appointee, or employee, may result in removal, administrative or disciplinary action.

Interns and contractors are subject to removal for failure to comply or cooperate.

http://mypsa/Policies/Standards%20of%20Employee%20Conduct.pdf http://mypsa/Policies/Standards%20of%20Employee%20Conduct.pdf

Procedures

Position Designation

The process for position designation as defined in 5 CFR Parts 731, 732, and 1400 is used to determine sensitivity, risk level and the appropriate level of investigation for covered positions related to public trust or national security.

Risk levels are based on the documented duties and responsibilities of the position and are designated as High, Moderate, or Low depending on the position’s potential for adverse impact to the integrity or efficiency of the service.

Preliminary Background Checks

Prior to entering on duty, each individual selected for employment must undergo a preliminary background check. All individuals submit a PSA Credit Release, the Declaration for Federal Employment (OF 306), and fingerprints.

The additional items are submitted to Personnel Security Officer by OHCM (for employees and interns) or OFA(for contractors):

Applicants and Appointees

Contractors Interns

• Request for Background Investigation for Employment Purposes

• Pre-employment Inquiry form

• Security form for PSA Contractors

• Preliminary Background Check Request-PSA Contractor form

• Preliminary Background Investigation form

• Intern Temporary Proxy Card Request form

Upon receipt of the required information, PSA conducts a preliminary background check that includes, but is not limited to, the following:

• Review of submitted forms;

• Criminal record check with applicable law enforcement databases;

• Search for prior investigations in OPM’s database;

• Credit check;

• FBI name check.

The Personnel Security Officer reviews the results of completed preliminary background checks and makes an adjudicative determination. Notification of the determination is made to OHCM or OFA, as appropriate.

Requirements for Suitability and Fitness Investigations

Requirements The Personnel Security Officer must ensure that the appropriate background investigation is requested and adjudicated to determine suitability or fitness for Federal employment. Investigations are conducted by OPM.

Reciprocity The Personnel Security Officer determines reciprocity. If an individual has been the subject of a prior investigation and there has not been a break in service that exceeds two years, the prior suitability or fitness determination, background investigation, and adjudication may be eligible for reciprocal acceptance.

Background Investigation

Individuals who do not have a previous investigation that can be used for reciprocity require a background investigation. The Personnel Security Officer initiates the appropriate background investigation request using OPM’s e-QIP.

• The individual is notified by e-mail of specific instructions regarding what is required and the deadline to complete the e-QIP application and any other required forms.

• The Personnel Security Officer reviews the application in e-QIP when completed, ensures all required documents are attached, and sends the request electronically to OPM to initiate the investigation.

Reinvestigation Individuals in positions of public trust are subject to reinvestigations as determined by the OPM Director and in accordance with 5 CFR Part 731.

Reinvestigations are also conducted if the position requirements change to reflect a higher level of investigation or new information about an employee raises questions of suitability.

If the subject of a reinvestigation is an employee as defined by 5 U.S. Code §7511, and if a suitability issue is raised during a reinvestigation, PSA may elect to initiate an adverse action, which is different than a suitability action.2 Any issues discovered during a reinvestigation are evaluated to determine whether continued employment of the individual promotes efficiency of the service.

2 Suitability actions are applicable for applicants and appointees and only employees when the person’s appointment was gained through falsification or fraud or for other limited reasons.

http://www.gpo.gov/fdsys/pkg/USCODE-2009-title5/pdf/USCODE-2009-title5-partIII-subpartF-chap75-subchapII-sec7511.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2009-title5/pdf/USCODE-2009-title5-partIII-subpartF-chap75-subchapII-sec7511.pdf http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-part752 http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5cfr731_main_02.tpl

Procedures, Continued

Process for Reinvestigation

When an employee requires reinvestigation the Personnel Security Officer:

• Initiates the appropriate reinvestigation in OPM’s e-QIP;

• Contacts the individual by e-mail to provide specific instructions regarding what is required and the deadline to complete the e-QIP application and any other required forms;

• Reviews the application in e-QIP when complete and ensures all required documents are attached; and

• Sends the request electronically to OPM to initiate the investigation.

Adjudications of Suitability and Fitness Investigations

Criteria for Adjudication

Suitability or fitness determinations are based on careful, objective analysis of available information about an individual’s conduct and character, both favorable and unfavorable, which is relevant to the criteria set forth in 5 CFR Part 731.

Position risk and sensitivity levels are considered when making suitability or fitness determinations.

Report of Investigation

A review is performed to identify actionable issues in accordance with the suitability factors and make an initial assessment of the issues. Information is analyzed in terms of the:

• Relevancy;

• Nature and seriousness of the conduct;

• Circumstances surrounding the conduct;

• Recentness of the conduct;

• Age of the person at the time of the conduct;

• Contributing societal conditions;

• Presence or absence of rehabilitation; and

• Nature of the position for which the individual is applying or in which the individual is employed.

Determinations Suitability and fitness determinations are made using adjudication and issue assessment criteria set forth in OPM’s Suitability Processing Handbook (2008).

Adjudications of Suitability and Fitness Investigations, Continued

Unfavorable Adjudications

Unfavorable suitability determinations may result in a suitability action or adverse action as mandated by the CFR.

• Suitability actions are taken as set forth in 5 CFR Part 731, and are reported to OPM within 30 days after the action using the appropriate OPM form or PIPS.

• Adverse actions are taken as set forth in 5 CFR Part 752.

In all suitability cases, the Personnel Security Officer refers the case to OPM for adjudication when there is evidence of:

- A material, intentional false statement;

- Deception or fraud in examination or appointment; or

- A refusal to furnish testimony.

Final Decision The Personnel Security Officer reports all final adjudicative decisions to

OPM. Decisions based on an OPM investigation are reported to OPM as soon as possible, but not later than 90 days after receipt of the final report of investigation. The Personnel Security Officer maintains a copy of all final adjudicative decisions. The Certificate of Investigation is uploaded into the individual’s electronic Official Personnel Folder and the employee is notified by e-mail of favorable determinations. Employees are notified of all other determinations, including any rights to appeal, according to procedures established by OPM.

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title05/5cfr731_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?SID=3fbd3ab2c61b9c83937011c753be57db&mc=true&node=pt5.2.752&rgn=div5