Attch. 27 SD.I.10031-M-2 Background Investigation Procedures for SBIWTP Contractor Personnel.pdf

United States Section International Boundary and Water Commission

Directives Management System

Volume I : Mission Support Part 1000 : Protective Services Chapter 1003 : Personnel Security Directive 10031 : Personnel Security and Suitability Directive Manual : Background Investigation Procedures for SBIWTP Contractor Personnel Citation : SD.I.10031-M-2 Proponent : Safety and Security Division Effective Date : 17 August 2015

1. Purpose. All Contractor personnel working at the South Bay International Wastewater Treatment Plant (SBIWTP) are required to meet the background investigation requirements of the International Boundary & Water Commission, United States’ Section (USIBWC).The purpose of this document is to establish a formal process to be utilized by the Contractor for the notification to the IBWC Safety and Security Division (SSD) of the hiring of new contract personnel and notifying the SSD or personnel who are no longer contracted to work at the SBIWTP. The information contained within this memorandum complements the IBWC directive SD.I.10031, Personnel Security and Suitability Determination Directive and SD.I.10031-M-1, Security and Suitability Request Processing Manual. This memorandum also describes the IBWC’s procedural guidelines and provides Contractor and IBWC Personnel Security Specialists with the necessary information relative to processing personnel background investigations.

2. Scope. This document applies to all Contractor personnel and IBWC Personnel

Security Specialists involved in the requesting, processing, and terminating security and suitability background investigations for Contractor personnel.

3. Authorities. The USIBWC authority is derived from 5 CFR 731, Suitability; 5 CFR

732, National Security Positions; 5 CFR 736, Personnel Investigations; EO 10450, Security Requirements for Government Employment; EO 13488, Granting Reciprocity on Excepted Service and Federal Contractor Employee Fitness and Reinvestigating Individuals in Positions of Public Trust; EO 10577, Amending the Civil Service Rules and authorizing a new appointment system for the competitive service; EO 12968, Access to Classified Information and Background Investigations Standards; EO 13381, Strengthening Process Relating to Determining Eligibility for Access to Classified National Security Information; EO 12829, National Industrial Security Program; and Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors.

4. Responsibilities. To ensure that background investigations are requested and conducted in an efficient manner, each position listed below will have to perform specific functions.

A. Chief Security Officer (CSO). Maintains oversight of program activities to ensure compliance with the established agency policy. Disseminates information and provides guidance to IBWC Personnel Security Specialists and Contractor personnel on matters relating to the requesting, terminating, and processing of security and suitability investigations for contract personnel.

B. Personnel Security Specialists. Security personnel assigned to process background investigations are responsible for processing requests for background investigations in a timely manner. Personnel Security Specialists are also responsible for timely reporting of the status of background investigations to the CSO and Area Operations Manager. Security Specialists are responsible for contacting the Contractor Contract Employee directly once the IBWC Form 063 has been submitted to SSD.

C. Area Operations Managers (AOM)/Contract Officer’s Representative (COR). The

AOM or COR who is responsible for contractor personnel working at the SBIWTP will be responsible for requesting background investigations. The AOM/COR will receive the Requests for Suitability Action (IBWC Form 063) from the Contractor SBIWTP Superintendent. The AOM/COR will then forward the request to the SSD via the safety.security email account. The AOM/COR is also responsible for receiving PIV cards for terminated contract employees. The AOM/COR will turn in the PIV card to the SSD.

D. Contractor Superintendent. Is responsible for the timely notification to the

AOM/COR when a new contract employee is hired. The Superintendent will use the Requests for Suitability Action (IBWC Form 063) to initiate the background investigation process. The Superintendent will submit the Form 063 to the AOM/COR. The Superintendent is also responsible for notification of the termination of employment of any contract employee working at the SBIWTP. The Superintendent is responsible for collecting the contract employee’s PIV card and submitting it to the AOM/COR/ when an employee is terminated. The PIV card must be turned in within seven (7) calendar days of employee termination. The Contractor requirements of this manual will be enforced through the signed contract between the Contractor and the IBWC.

E. Contractor Employees. Are responsible for providing the requested background information on the Form 063 along with the OF 306, Declaration of Federal Employment and turning it into the Superintendent. Contractor employees are also responsible for completing the FD 258 Contractor Fingerprint card. Once completed this card will be submitted directly to the SSD. This process must be completed within two (2) calendar days of contacting the SSD. Contractor employees are responsible for attending enrollment and activation appointments to ensure compliance with HSPD-12 requirements. Employees must turn in their PIV card upon termination of employment. The Contractor requirements of this manual will be enforced through the signed contract between the Contractor and the IBWC.

F. Program Maintenance. Chief Security Officer will review the procedures on an annual basis to ensure that the content appropriately and adequately addresses the processing of security and suitability background investigation for Contractor employees.

5. Procedures. The procedures below describe the specific steps for requesting and processing Security and Suitability Investigations for SBIWTP Contractor Personnel and are intended to ensure that all personnel meet the background investigation requirements.

A. Investigations for contractor personnel are processed in the same manner as federal employees with the exception of the method for requesting the investigations.

B. Requests for investigations for contractor personnel. The AOM or COR for

SBIWTP will submit the IBWC Form 063, Request for Suitability Action to SSD for each contractor requiring a background investigation.

(1) AOM/COR will provide the biographic data in all identified fields of the form.

(2) Position Risk will be left blank. This will be determined after SSD confers with the AOM/COR and determines the associated risk with the specific position.

(3) Position Title, Position Location, and Supervisor will be the last block filled out.

C. SSD will receive the IBWC Form 063 as the official request to determine if a suitability investigation on the contractor is needed. There are situations where contractors may not need an investigation. This form will be submitted via the safety.security@ibwc.gov email account.

(1) SSD will then conduct a review of the contractor’s previous background investigations. This review will be conducted in the Central Verification System

(CVS).

(a) If the contractor has a current and favorable background investigation that meets the risk level of the duty position applied for, the SSD will mark the IBWC Form 063 with “Subject is cleared to begin work. Issue start date.”

SSD will then place the request in the contractor’s Personnel Security File

(PSF).

(b) If the contractor does not have a current and favorable background investigation that meets the risk level of the duty position, the SSD will mark the IBWC Form 063 with “Background investigation required. SSD will contact subject and initiate the investigation.

(2) If an investigation is required, SSD will perform the necessary steps below:

(a) SSD will develop a digital and hard copy Personnel Security File (PSF) on the contractor. At a minimum the file will contain the OF 306, IBWC Form 063, security questionnaire, and accompanying documents.

(b) SSD will use information from the IBWC Form 063 to establish an Electronic

Questionnaire for Investigation Processing (e-QIP) account for the contractor.

(c) SSD will add the contractor’s biographic information to the Suitability Log and Position Risk and Sensitivity Level Determination Log (if required).

(d) SSD will enter the contractor’s biographic data into the USAccess system.

This will start the process for issuance of the contractor PIV card in accordance with HSPD-12.

(e) SSD will send an OF 306 and fingerprint card (FD 258) to the contractor along with fingerprinting instructions. If the contractor is local SSD will schedule an appointment to complete the fingerprints at HQ.

(f) SSD will call the contractor and inform them that they are required to undergo a background investigation and that they will receive an email with instructions.

(g) SSD will email the link and instructions for e-QIP to the contractor. The contractor is informed that they have ten (10) days to return the completed digital e-QIP packet to the SSD.

(h) Once the e-QIP packet, the fingerprints, and OF 306 have been returned to

SSD, the complete packet will be submitted to the Office of Personnel Management’s Federal Investigative Service (OPM-FIS).

6. Adjudication Process. Security and Suitability Investigation Adjudication Process and contractor Notification will be conducted once the background investigation has been completed and returned to SSD by OPM-FIS. Once SSD receives a completed investigation from OPM-FIS, the investigation will be reviewed in detail and adjudicated accordingly by SSD trained adjudicators in accordance with OPM-FIS guidelines for adjudication.

A. If the investigation is adjudicated favorably, SSD will contact the contractor and notify them that their background investigation has been adjudicated and no further action is required.

B. If the investigation was not adjudicated favorably, the SSD will notify the contractor that their background investigation for adjudicated unfavorably and inform the Superintendent that the contract employee is no longer authorized to work at the

SBIWTP.

7. HSPD-12 Requirements. All contract employees requiring reoccurring physical access to the SBIWTP must be issued a PIV Card (ID card) in accordance with the HSPD-12 standard. Once the fingerprints/background investigation for a contractor has been adjudicated favorably, the SSD will sponsor the contractor in the USAccess system. This will prompt the contractor to schedule and enrollment appointment at the nearest credentialing facility. Once that appointment is complete, the PIV card will print and be shipped to the contractor. The contractor must then schedule an activation appointment at the nearest credentialing facility. Once that appointment is conducted the process is complete.

8. Contract Compliance. The Contractor will ensure that no new personnel are permitted to physically begin work at the SBIWTP prior to the favorable adjudication of their background investigation and/or fingerprint check. Any personnel found to be physically working at the SBIWTP and has not received a favorable adjudication of their background investigation and/or fingerprint check shall be removed immediately upon notification from the SSD. The Contractor requirements of this manual will be enforced through the signed contract between the Contractor and the IBWC.

A. Subcontractors which require reoccurring access to an information system, access to sensitive data, regular or prolonged access to an USIBWC-controlled facility, or any combination of these three for more than 180 days cumulatively, shall be required to abide by the procedures set forth in this document.

B. The Contractor shall ensure that any subcontractors or personnel who may be performing work at the SBIWTP for a temporary period of time are escorted at all times while on the property.

C. Typically, the Government investigates personnel at no cost to the contractor, but the expense of multiple investigations for the same position is difficult to justify.

Consequently, multiple investigations for the same position may, at the Contracting Officer’s discretion, justify reduction(s) in the contract price of no more than the cost of the extra investigation(s).

9. Supersession. This is a new Manual.

Approved:

///ORIGINAL SIGNED/// 08/1/2015

Edward Drusina, P.E. Date Commissioner