J.4_DOT_Order_1630_2B.pdf

Attachment J.4 DTRT5716R20005

g. Adjudicative Guidelines for Determining Eligibility for Access to Classified Information, SPB Issuance 2-97, approved by the President and dated March 24, 1997.

h. Investigative Standards for Temporary Eligibility for Access, SPB Issuance 3-97, approved by the President and dated March 24, 1997.

i. Office of Management and Budget Circular No. A-130, Management of Federal

Information Resources, revised February 8, 1996.

4. POLICY.

a. No person shall be employed or retained in employment by DOT unless a determination has been made on behalf of the Secretary of Transportation that such employment is clearly consistent with the interests of national security.

b. DOT shall grant a person eligibility for access to classified information only when facts and circumstances indicate that access to such information is clearly consistent with the national security interests of the United States, and any doubt shall be resolved in favor of the national security.

c. Within one year from the date of this order, or within 18 months of hiring, if hired after the date of this order, all personnel responsible for determining persons’ eligibility for access to classified information shall have completed formal adjudicative training. The training curriculum shall meet the current training criteria used by the Department of Defense, the Department of Energy, or the Central Intelligence Agency when training adjudicative personnel and shall comply with any standards set by the SPB.

d. DOT shall grant no one access to classified information unless the required background investigation has been completed and favorably adjudicated, the person has a need for access to the classified information to perform his or her duties, and the person has signed an approved classified information nondisclosure agreement. In very exceptional circumstances, personnel security adjudicators may grant access to classified information to persons on whom the required investigations have not been completed, consistent with Governmentwide requirements for granting interim or temporary access.

e. DOT shall afford fair, impartial, and equitable treatment to all DOT employees and applicants through consistent application of personnel security standards, criteria, and procedures as specified in applicable laws, regulations, and orders. The department does not discriminate on the basis of race, color, religion, sex, national origin, disability, or sexual orientation in granting access to classified information, nor does the department use the denial of access to classified information as a substitute for appropriate adverse suitability determinations or disciplinary actions.

f. Nothing in this order shall limit or affect the responsibility and power of the Secretary, pursuant to any law or E.O., to deny or terminate access to classified information in the interest of the national security.

g. DOT shall provide all applicants, employees, and contractor personnel the opportunity to explain or refute any unfavorable information before the department uses the information as a basis for any adverse personnel, security, or similar action against them.

h. No person whom the Secretary has removed from employment for security reasons shall be employed by DOT without the Secretary’s prior approval. This authority may not be redelegated.

i. Investigative and personnel security records may be disclosed only to the extent necessary under the requirements of this order and those DOT orders implementing the Privacy Act and the Freedom of Information Act.

5. RESPONSIBILITIES:

a. The Office of Assistant Secretary for Administration shall:

1. Direct and administer the DOT personnel security program.

2. Administer and implement DOT personnel security policies and ensure effective compliance with all laws, E.O. and regulations that govern the personnel security program.

3. Represent DOT with respect to other agencies and organizations both within and outside the Federal Government.

4. Periodically evaluate DOT’s implementation of and adherence to personnel security policies and requirements.

5. Provide through the Director, Office of Security and Administrative Management, needed personnel security support services for the Office of the Secretary (OST) and for those DOT administrations and other organizations that have not been delegated their own personnel security operating authority.

6. As required, prepare consolidated personnel security program reports for and on behalf of the department.

b. Secretarial Officers and Heads of Operating Administrations shall:

(1) Implement policies promulgated by the Office of the Assistant Secretary for Administration and ensure that all provisions are effectively administered.

(2) Ensure that sufficient personnel and funding are provided to implement all DOT personnel security policies.

(3) Prepare and submit all required reports to OST.

(4) Inform the Office of Security and Administrative Management of any significant personnel security problems or issues.

(5) As warranted, promptly take all steps necessary to correct any personnel security program deficiencies.

c. Director, Office of Security and Administrative Management (M-40) shall:

(1) Provide guidance and direction throughout DOT on all personnel security matters.

(2) Provide personnel security support services for OST and all DOT organizations to which the Assistant Secretary for Administration has not delegated specific personnel security operating authority.

(3) Evaluate all DOT personnel security activities and, as appropriate, either make or recommend needed changes in policies and procedures.

(4) Provide liaison with other Government agencies as needed on personnel security matters.

(5) Authorize exceptions to DOT personnel security policies and procedures when doing so meets an urgent management need, is consistent with the interests of national security, does not infringe on the rights of any employee or applicant, and does not conflict with authority reserved by either the Secretary or the Assistant Secretary for Administration.

DOT M 1630.2B

PERSONNEL SECURITY

MANAGEMENT

MANUAL

Office of Security and Administrative Management Office of the Assistant Secretary for Administration

Office of the Secretary

DOT M 1630.2B Page i

PERSONNEL SECURITY MANAGEMENT

MANUAL

TABLE OF CONTENTS

Chapter 1 - General Information

Section 1 - Purpose………………………………………………… I-1 Section 2 - Delegated Program Authority…………………………. I-1 Section 3 - References to Days……………………………………. I-2 Section 4 - Definitions…………………………………………….. I-2

Chapter 2 - Personnel Security Operations and Specific Responsibilities

Section 1 - Standards of Operation and Specific Responsibilities……………………………………….. II-1 Section 2 - Safeguarding Employees' and Applicants'

Rights and Privacy……………………………………. II-4 Section 3 - Release of Personnel Security Records……………….. II-5

Chapter 3 - Suitability and Personnel Security Standards

Section 1 - Relationship between Suitability and Security…………………………………… ....... …….. III-1 Section 2 - Personnel Security Standard and Criteria……………... III-2

Chapter 4 - Position Sensitivity and Risk Level Designation

Section 1 - General Requirements and Definitions…………………IV-1 Section 2 - Specific Requirements and Process for Designation……………………………………………. IV-3

Chapter 5 - Personnel Security Investigation Requirements

Section 1 - Types and Scope of Background Investigations……… V-1 Section 2 - Basic Investigative Requirements…………………….. V-3 Section 3 - Exceptions to Investigative Requirements……………. V-6 Section 4 - Waiver of Pre-placement Investigative Requirements for Special-Sensitive and Critical- Sensitive Positions……………………………………. V-7

DOT M 1630.2B Page ii

Section 5 - Financial and Foreign Travel Disclosure

Requirements…………………………………………. V-9 Section 6 - Investigative Requirements for Non-Federal Personnel……………………………………………… V-9

Section 7 - Forms…………………………………………………. V-10

Chapter 6 - Reciprocity and Standards for Using Previous Investigations

Section 1 - General………………………………………………… VI-1 Section 2 - Obtaining and Reviewing Previous Investigations…………………………………………. VI-2

Chapter 7 - Role of Security in Suitability Adjudication

Chapter 8 - Security Adjudication

Chapter 9 - Access to Classified Information

Section 1 - General……………………………………………….. IX-1 Section 2 - Limitations and Restrictions on Access to Classification Information…………………………….. IX-2 Section 3 - Request Procedures…………………………………… IX-3 Section 4 - Interim Clearances…………………………………….. IX-4 Section 5 - Final Clearances………………………………………. IX-6 Section 6 - Temporary Clearances………………………………… IX-6 Section 7 - Clearance Granting Procedures and Documentation……………………………………….. IX-7 Section 8 - Terminating Access Authorizations…………………... IX-8 Section 9 - Special Access Authorizations………………………... IX-9 Section 10-Security Clearances for National Defense Executive Reserve (NDER) Personnel and Federal Port Controllers……………………………… IX-11

Section 11-Security Clearances and Authorizations for Non-United States Citizens………………………. IX-12

Chapter 10 - Adverse Security Actions

Section 1- General……………………………………………….. X-1 Section 2 - Security Clearance Denial, Suspension, and/or Revocation…………………………………….. X-1 Section 3 - Suspension and Removal Under Title

5 U.S.C. 7532…………………………………………. X-4 Section 4 - Employment of Individuals Previously Separated for Security Reasons….……………………. X-6

DOT M 1630.2B Page iii

Chapter 11 - Foreign Assignments and Travel

Appendix 1 - Security Adjudication Guidelines

Appendix 2 - Investigating Contractor Employees

Appendix 3 - National Industrial Security Program

Appendix 4 - Investigating Child Care Services Workers

Appendix 5 - Position Risk Level Designation Process

DOT M 1630.2B Page I-1

Chapter 1

GENERAL INFORMATION

Section 1 - Purpose

1-1. The purpose of this manual is to implement the policies of Order 1630.2B, Personnel Security Management, and to establish a uniform personnel security program for the Department of Transportation (DOT). This program is designed to protect classified information, ensure cost effectiveness, and provide fair and equitable treatment to all DOT employees and applicants considered for initial or continued access to classified information, consistent with the interests of national security. It also includes the initiation and processing of required background investigations on all Federal employees and certain contractor employees.

1-2. This manual sets forth the standards, criteria, and guidelines for personnel security determinations; describes the types and scopes of personnel security investigations; specifies investigative requirements; and states the procedures for adverse security actions in regard to individuals’ access to classified national security information.

1-3. This manual addresses the relationship between security and suitability determinations with respect to the hiring or retention of persons for DOT employment.

1-4. This manual contains requirements and procedures for conducting investigations on contractor employees and child care center workers. It also contains basic procedures for processing contractor employees for access to classified information under the provisions of the National Industrial Security Program (NISP).

1-5. For purposes of this manual, the term DOT organization is defined as including all Secretarial organizations and Operating Administrations, the Bureau of Transportation Statistics, and the Transportation Administrative Service Center.

Section 2 – Delegated Program Authority

1-6. The Federal Aviation Administration (FAA), Federal Highway Administration (FHWA), and United States Coast Guard (USCG) are delegated authority to administer their own personnel security programs. These programs shall implement the policies of Order 1630.2B and this manual. Subject to and following Office of Security and Administrative Management (M-40) concurrence, the FAA, FHWA, and USCG may adopt procedures that implement DOT personnel security policies in ways different from those prescribed in this manual.

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Section 3 – References to Days

1-7. In this manual, and unless otherwise stated, all references to days refer to calendar days.

Section 4 - Definitions

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

Access authorization. Certification that a person is currently authorized to have access to classified information at specific levels.

Appointing/approving official. The individual delegated the authority to effect appointments, reassignments, promotions, separations, or similar personnel actions regarding DOT employees or applicants.

Background investigation. Any personnel investigation conducted to meet personnel security program requirements.

Background Investigation (BI). An investigation consisting of a National Agency Check (NAC), credit search, personal interviews of subject and sources, written inquiries, and record searches covering specific areas of a person's background during the most recent 5 years, and additional record searches during the most recent 7 years.

Classified information. Official information or material that requires protection in the interest of national security and is classified for such purpose by appropriate classification authority in accordance with the provisions of Executive Order (E.O.) 12958, Classified National Security Information, or any successor authority.

Cohabitant. An individual with whom the subject lives, other than a spouse, child, or other relative (mother, father, brother, sister, in-laws, etc.), with whom a bond of affection, influence, obligation, or a spouse-like relationship exists.

Contract. As defined in Federal Acquisition Regulation 2.101, a mutually binding legal relationship obligating the seller to furnish 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, 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

DOT M 1630.2B Page I-3 written acceptance or performance; and bilateral contract modifications. This includes reimbursable agreements and interagency agreements.

Contracting officer. As defined in Federal Acquisition Regulation 2.101, a person with the authority to enter into, administer, and/or terminate contacts and make related determinations and findings. The term includes certain authorized representatives of the contracting officer acting within the limits of their authority as delegated by the contracting officer.

Contractor employee. A person hired by a contractor as an employee or subcontractor to perform tasks under a DOT contract. This term includes any consultant to DOT who is not actually a Federal employee.

Defense Clearance and Investigations Index (DCII). An automated index of all investigations conducted by the Department of Defense (DOD) on military personnel, DOD civilian employees, and applicants.

DOT employee. Any person employed directly by DOT, including a member of the USCG.

Foreign national. An individual who is not a citizen of the United States.

Immigrant alien. An individual who is lawfully admitted to the United States under an immigration visa for permanent residence.

Interim access authorization. An authorization for access to classified information granted pending completion of the required investigation.

Limited Background Investigation (LBI). An investigation consisting of a NAC, credit search, personal interviews of subject and sources, written inquiries of selected sources covering specific areas of a person's background during the most recent three years, and record searches for a total of five 5 years’ coverage.

Limited Access Authorization. A certification that a person is authorized to have access only to certain specified classified information that has been carefully screened by security officials for its release to that person.

Local Agency Check (LAC). A check of records at a state or local law enforcement agency.

Minimum Background Investigation (MBI). An investigation consisting of a National Agency Check and Inquiries (NACI), a credit search, and telephone inquiries to follow up on written inquiries not returned.

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National Agency Check (NAC). An investigation consisting of searches of the following files: Security/Suitability Investigations Index (SII), DCII, the Federal Bureau of Investigation's (FBI) Identification Division, and the FBI's Records Management Division.

National Agency Check and Inquiries (NACI). An investigation consisting of a NAC, written inquiries, and record searches covering specific areas of a person's background during the most recent five years.

National security. The protection and preservation of the military, economic, and productive strength of the United States, including the security of the Government in domestic and foreign affairs, from overt and covert attack, against or from espionage, sabotage, and subversion, and any and all illegal acts designed to weaken or destroy the United States.

National security position. A position involving Government activities concerned with the protection of the national security.

Need-to-Know. A determination made by an authorized holder of classified information that a prospective recipient requires access to, knowledge of, or possession of specific classified information to perform or assist in a lawful and authorized U.S. Government function or program.

Periodic Reinvestigation (PRI). An investigation updating a previous investigation and consisting of a NAC, credit search, personal interview of the subject, and selected record searches.

Periodic Reinvestigation for SSBI (SSBI-PR). An investigation updating a Single Scope Background Investigation (SSBI) and consisting of personal interviews of the subject and sources, a NAC, credit search, and written inquiries and record searches covering specific areas of a person's background during the most recent five years.

Personnel security. The standards and procedures utilized to determine and document that the employment or retention in employment of an individual will promote the efficiency of the service and is clearly consistent with the interests of the national security.

Personnel security adjudicator. An individual in the servicing security organization who conducts security adjudication.

Personnel security officer. A specifically appointed individual within a servicing security organization who is primarily responsible for management and operation of the personnel security program.

jessica.moffatt Line jessica.moffatt Text Box M1 memo, May 2, 2011, "New Procedures for Initiating Reinvestigations" has added a definition for "Phased Periodic Reinvestigation (PPR)." The memo appears at the end of this document.

DOT M 1630.2B Page I-5

Position risk level. The designation of a position based on its public trust responsibilities and attributes as they relate to the efficiency of the service.

Position sensitivity. The designation of a national security position based on its relative importance to the national security.

Proprietary Information. Confidential commercial or financial information.

Public trust position. A position that has the potential for action or inaction by an incumbent to affect the integrity, efficiency, or effectiveness of assigned Government activities.

Reimbursable Suitability Investigation (RSI). An investigation conducted by the Office of Personnel Management (OPM) to resolve a suitability issue raised in a previous investigation.

Resources. Material and monetary items of value, including facilities, equipment (including, but not limited to, computers, facsimile machines, photocopiers, printers, and furniture), information databases (both hardware and software), and records in whatever form they exist.

Scope. The time period to be covered and the sources of information to be contacted during the prescribed course of a personnel security investigation.

Security adjudication. The determination as to whether the employment or continued employment of an individual, and the person's access to classified information, if necessary, can reasonably be expected to be clearly consistent with the interests of national security.

Security/Suitability Investigations Index (SII). OPM's index of investigations conducted by OPM and by other agencies as reported to OPM.

Servicing security organization. The organizational element that is responsible for providing security services to a particular DOT administration or organization.

Single Scope Background Investigation (SSBI). An investigation consisting of a NAC, birth records search, credit search, personal interviews of subject and sources, written inquiries, and record searches covering specific areas of a person's background during the most recent 10 years.

Suitability. Identifiable character traits and past conduct which are sufficient to determine whether or not a given individual is likely to carry out the duties of a Federal job with appropriate efficiency and effectiveness.

Suitability adjudication. The process of determining a person's suitability for Federal employment in a particular position.

DOT M 1630.2B Page I-6

Temporary clearance. An authorization for access to classified information granted for a limited period of time.

Unauthorized Disclosure. A communication or physical transfer of classified information to a recipient unauthorized to receive it in the given circumstances.

Upgrade Investigation (UGI). An investigation consisting of a NAC, credit search, personal interviews of the subject and selected sources, and record searches covering specific areas of a person's background since the last investigation. This investigation is for movement upward in sensitivity/risk level from between 13 to 60 months of the previous investigation's closing date.

Update Investigation (UDI). An investigation consisting of the same type of coverage as a previous investigation, conducted from between 13 and 60 months of that investigation.

DOT M 1630.2B Page II-1

Chapter 2

PERSONNEL SECURITY OPERATIONS AND RESPONSIBILITIES

Section 1 – Standards of Operation and Specific Responsibilities

2-1. Standards. DOT personnel security operations shall meet the following standards:

a. The operations shall be conducted at organizational levels where they are closely controlled to ensure that they comply with DOT requirements and are managed in an efficient and effective manner.

b. In servicing security organizations, only professionally qualified personnel security officers shall direct personnel security operations. Security managers may delegate responsibility for security adjudication, but may do so only to specialists who are fully trained to evaluate reports and results of personnel investigations and who have successfully completed an approved personnel security adjudication course.

2-2. Operational responsibilities. Personnel security officers and specialists have primary responsibility for personnel security operations. However, human resources and employing office officials shall assist them by performing certain personnel security operational duties.

a. The servicing security organization shall:

(1) Work with employing offices and human resources organizations as needed to ensure that position sensitivity and risk level designations are accurate for all positions within its area of responsibility.

(2) Review investigative forms for completeness, confirm the necessity for investigations, and initiate personnel security investigations as required.

(3) Check national investigations indices for prior investigations concerning applicants and employees.

(4) Process requests for waiver of pre-placement investigative requirements.

Conduct local agency and other checks as necessary.

(5) Receive from OPM or other sources results of all investigations on applicants and employees. Review investigative reports to determine the adequacy of the investigations and to identify security or suitability issues.

DOT M 1630.2B Page II-2

(6) Conduct or arrange for any additional investigation necessary to resolve security or suitability issues.

(7) Provide due process to applicants and employees when required by Section 2 of this chapter.

(8) Make security determinations on all cases involving sensitive positions and grant or deny access to classified information; i.e., security clearances. Advise human resources organizations of these determinations.

(9) When requested, advise and assist human resources organizations and/or employing offices in adjudicating suitability on applicants or employees.

(10) Prepare and conduct, or ensure that employing offices conduct, security briefings for employees as needed.

(11) Provide guidance to human resources organizations and employing offices on personnel security policies and operating procedures.

(12) Periodically evaluate its personnel security program to ensure that it is operating effectively and efficiently.

(13) Process visit clearance requests and certify security clearances as necessary.

(14) Advise employing offices and human resources organizations of all changes in costs of background investigations.

b. The employing office shall:

(1) Recommend position sensitivity and risk level designations on positions under its jurisdiction and coordinate with the servicing security organization regarding final designations.

(2) Ensure that all Optional Form 8's (OF-8), Position Description, or equivalent, either electronic or hard-copy, show the approved sensitivity or risk level designation, as well as any requirement for access to classified information.

(3) When appropriate, ensure that vacancy announcements state that appointment is subject to a favorably adjudicated personnel security investigation enabling the granting of a security clearance.

DOT M 1630.2B Page II-3

(4) Ensure that before placing, or making any commitment to place, a person in a special-sensitive, critical-sensitive, or noncritical-sensitive position, the servicing security organization has determined that the pre-placement investigative requirement has been met or that an appropriate waiver has been granted.

(5) Request waivers from or through the servicing security organization of pre-placement investigative requirements when emergency conditions exist that preclude meeting them.

(6) Budget for the costs of conducting personnel investigations, or coordinate with the servicing security organization to ensure budgeting for these costs.

(7) Obtain or assist human resources organizations in obtaining personnel security questionnaires, fingerprints, and other forms as required for personnel security processing. Ensure that paperwork is properly completed and submitted in time to initiate investigations as required by Chapter 5.

(8) Conduct or arrange for security briefings for new employees and employees with newly granted security clearances. Periodically conduct or arrange for additional briefings to maintain a high level of security awareness.

(9) Advise the servicing security organization of any questionable conduct or activity by an employee that would raise a security or suitability issue.

(10) Maintain records of the risk and sensitivity levels of its organization's positions.

(11) Maintain records of the security clearances held by its organization's employees.

Maintain records as required by those directives that implement the Privacy Act.

c. Human resources organizations shall:

(1) Coordinate with the servicing security organization on each new or revised position description as needed to ensure that the original OF-8 or equivalent shows the approved risk or sensitivity level.

(2) Ensure that all vacancy announcements contain appropriate information about any investigative or personnel security clearance requirements that are a condition of employment in the position.

DOT M 1630.2B Page II-4

(3) Obtain or participate with employing offices in obtaining personnel security questionnaires, fingerprints, and other forms as required for personnel security processing. Ensure that paperwork is properly completed and submitted in time to initiate investigations as required by Chapter 5.

(4) When an applicant is a current or former Federal employee, obtain available Official Personnel Folder (OPF) data about previous investigation(s).

Provide this information to the servicing security organization when the person is applying for other than a low-risk position, and advise the security organization whenever the OPF contains no conclusive proof of a prior investigation.

(5) Coordinate with the security organization regarding any information about an applicant that would raise a security or suitability issue. This includes information disclosed on an employment application or personnel security questionnaire, or from pre-placement inquiries, prior employers, the OPF, or any other sources.

(6) Refer to the security organization any information about an employee that would raise a security or suitability issue.

(7) Obtain approval from the servicing security organization before placing any person in a special-sensitive, critical-sensitive, or noncritical-sensitive position; and, before placing any person in a high risk or moderate risk position, ensure that the requirements of paragraphs 5-12 and 5-13 have been met.

(8) Maintain accurate and current records of the sensitivity or risk-level designation for each position.

Section 2 - Safeguarding Employees’ and Applicants’ Rights and Privacy

2-3. Applicants and employees shall be afforded an opportunity to explain, refute, or deny any unfavorable information obtained as the result of a personnel security investigation before DOT may take any unfavorable action based on that information, including denial of a benefit to which an individual would otherwise be entitled. The individual has the right to make an oral or written reply. This practice, commonly known as due process, prevents errors which might otherwise result from mistakes in identity or erroneous information and provides the applicant or employee the opportunity to present mitigating information that may be unknown to the adjudicating officials. The applicant or employee must be provided any appropriate Privacy Act advice. Any record of the unfavorable information, to include the applicant's or employee's response to it, may be furnished only to those individuals who, in their official capacity, have a need to know such information.

DOT M 1630.2B Page II-5

2-4. Investigative information obtained under a pledge of confidence shall be controlled in accordance with the commitment the investigating agency made to the source of that information.

2-5. Medical information of a sensitive, personal nature that is obtained in conjunction with an investigation shall be carefully controlled to ensure that it is not disclosed to individuals who do not need it for official purposes. It also shall not be used to make a security or suitability determination until it has been properly interpreted by a medical official trained in analysis of the specific type of medical information concerned. If the medical official concludes that it might be harmful to an applicant or employee to see any of the medical information, access to that information shall be denied to the individual except through a medical official chosen by him or her.

2-6. The servicing security organization shall ensure that before releasing investigative information to anyone outside the security organization, the persons to whom the information is being disclosed have a need to know it in an official capacity and in order to carry out a responsibility prescribed by this directive. All persons receiving investigative information shall similarly ensure that it is disclosed only to persons who have a need to know it in an official capacity.

2-7. All Personnel Security Files (PSF), reports of personnel investigations, personal history statements, records of response to derogatory information, computerized personnel security data, and other personnel security records and documents shall be regarded as Privacy Act information. During handling, transmission, release, and storage, they shall be carefully protected in accordance with all DOT procedures regarding this type of information. The information shall also be protected from disclosure, to the extent allowed by law, when responding to Freedom of Information Act (FOIA) requests for these types of records.

Section 3 - Release of Personnel Security Records

2-8. Upon request, a servicing security organization shall provide an employee the opportunity to review his or her PSF. The employee may also, in writing, authorize a representative to review it. The security organization shall do the following when complying with a request for a PSF review:

a. Review the file before letting the employee or representative review it, or before sending it to a field facility for review.

b. Remove any report of investigation completed by another agency, such as

OPM, the Defense Security Service (DSS), or the FBI. If such a report is removed, inform the employee or representative in writing that the original of the PSF contains a report completed by (name of agency), that neither DOT nor an

DOT M 1630.2B Page II-6 individual DOT organization is authorized to release it directly to the employee or representative, and that he or she should contact the investigating agency directly in order to request a copy.

c. Remove from the file any other information, such as identification of a confidential source or that concerning an ongoing investigation, that is exempt from release under the Privacy Act.

d. If the employee works at a field location distant from the security organization, send only a certified true copy of the PSF to the employee's facility, retaining the original in the security organization. Enclose the copy in an envelope addressed to the employee and marked, "TO BE OPENED BY ADDRESSEE ONLY."

e. When the review takes place at the security organization, permit the employee or representative to review the PSF or make copies of documents in it only under the direct observation of an security employee. Provide the employee or representative a reasonable amount of time to review the file and ensure that he or she does not withdraw any documents or pages from it.

f. Any request for access shall be evaluated under both FOIA and the Privacy Act, regardless of which the requester cites, and access shall be granted under whichever statute, in specific circumstances, provides greater access.

2-9. In responding to requests under the Privacy Act for disclosure of information in PSF’s and/or reports of investigation, DOT personnel shall follow all DOT and all of their administration’s or organization’s policies on implementing the Privacy Act. However, no report of investigation completed by another Federal agency shall be released in response to a Privacy Act request without the consent of that agency. Neither DOT nor an individual DOT organization is authorized to release such a report outright, as that is the prerogative of the agency that prepared it. If an individual asks for a copy of his or her PSF, and the PSF contains another agency’s report of investigation, the person shall be told that the PSF contains the report, which agency prepared it, and that DOT is not authorized to release it without the other agency’s consent. In the case of an OPM report of investigation, and because OPM has requested this procedure, the individual should be told to contact OPM directly to ask for a copy.

2-10. Without the concurrence of the servicing security organization, no collective bargaining agreement or agreement with an individual shall be entered into requiring DOT or any DOT organization to release any personnel security record. Under no circumstances shall any agreement be entered into requiring DOT to release a report of investigation completed by another Federal agency.

DOT M 1630.2B Page III-1

CHAPTER 3

SUITABILITY AND PERSONNEL SECURITY STANDARDS

Section 1 - Relationship Between Suitability and Security

3-1. Suitability means fitness or eligibility for employment and refers to identifiable character traits and past conduct that are sufficient to determine whether a given individual is likely or not likely to be able to carry out the duties of a Federal job with appropriate efficiency and effectiveness. Suitability is distinguishable from a person's ability to fulfill the qualifications requirements of a job, as measured by experience, education, knowledge, skills, and abilities. The focus of a suitability adjudication is on whether the employment or continued employment of an individual can reasonably be expected to promote the efficiency of the Federal service. 5 CFR Part 731, Suitability, contains potentially disqualifying suitability factors for competitive service employees and states the circumstances under which persons may be disqualified for employment for suitability reasons.

3-2. Security relates to requirements for an individual occupying a specific position to have access to classified information. A security determination focuses on the question of whether or not access to such information is clearly consistent with the interests of the national security. Section 2 of this chapter contains the standard and criteria specified in E.O. 10450 and E.O. 12968, which shall be used in making a security determination.

3-3. In processing applicants for employment, a security determination under E.O. 10450 and/or E.O. 12968 will usually be made subsequent to a favorable suitability adjudication.

Therefore, a human resources organization may favorably adjudicate a background investigation or information the applicant has provided and find the person suitable for employment in a specific sensitive position; but the servicing security organization would then separately determine whether or not the person should have access to classified information. In the case of an employee, however, neither a suitability adjudication nor a security determination is contingent upon the other. For example, a security determination may result in reassignment or removal from a position under the provisions of Chapter 10, even if the servicing human resources organization has made no suitability determination.

Also under those provisions, a security determination that an employee may not be granted a security clearance would prevent promotion or reassignment to a sensitive position.

3-4. Certain employees may not be subject to suitability determination by their human resources organization, depending on such factors as their status and length of employment.

An example would be competitive service employees who have been employed for more than 1 year and who are not subject to suitability action under 5 CFR Part 731. They are, however, subject to disciplinary and removal actions when an investigation develops information warranting such action. Whenever a personnel security investigation develops unfavorable information that could potentially be the basis for a disciplinary or removal action, the servicing security organization shall provide human resources and other

DOT M 1630.2B Page III-2 management officials, as appropriate and on a need-to-know basis, all investigative reports and other information necessary to enable these officials to take appropriate action.

Section 2 -- Personnel Security Standard and Criteria

3-5. Security Standard. The granting of access to classified information to any person shall be clearly consistent with the interests of the national security. In making this determination, the adjudicator assesses past and present conduct and considers whether or not the granting of such access conforms to this standard. Conduct relating to any of the criteria listed below is grounds for denying access to classified information if the conduct indicates that the person would pose a risk for damage to the national security. A determination of eligibility for access to classified information is a discretionary security decision based on judgments by appropriately trained adjudicative personnel. Servicing security organizations shall grant this eligibility only when doing so is clearly consistent with the national security interests of the United States and any doubt shall be resolved in favor of the national security.

3-6. Criteria. E.O. 12968 states that eligibility for access to classified information shall be granted only to persons whose personal and professional history affirmatively indicates loyalty to the United States, strength of character, trustworthiness, honesty, reliability, discretion, and sound judgment; freedom from conflicting allegiances and potential for coercion; and willingness and ability to abide by regulations governing the use, handling, and protection of classified information. E.O. 10450 enumerates the following criteria which shall be considered in making security determinations:

a. Any behavior, activities, or associations which tend to show that the individual is not reliable or trustworthy.

b. Any deliberate misrepresentation, falsification, or omission of material facts.

c. Any criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, habitual use of intoxicants to excess, drug addiction, or sexual perversion.

d. Any illness, including any mental condition, of a nature which in the opinion of competent medical authority may cause significant defect in the judgment or reliability of the employee, with due regard to the transient or continuing effect of the illness and the medical findings in such case.

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e. Any facts which furnish reason to believe that the individual may be subjected to coercion, influence, or pressure which may cause the person to act contrary to the best interests of the national security.

f. Commission of any act of sabotage, espionage, treason, terrorism, sedition, or attempts, threats, or preparation thereof, or conspiring with, or aiding or abetting another to commit or attempt to commit any act of sabotage, espionage, treason, terrorism, or sedition.

g. Establishing or continuing a sympathetic association with a saboteur, spy, traitor, seditionist, anarchist, terrorist, or revolutionist, or with an espionage or other secret agent or representative of a foreign nation whose interest may be inimical to the interest of the United States, or with any person who advocates the use of force or violence to overthrow the Government of the United States or the alteration of the form of Government of the United States by unconstitutional means.

h. Advocacy of use of force or violence to overthrow the Government of the

United States, or of the alteration of the form of Government of the United States by unconstitutional means.

i. Knowing membership with specific intent of furthering the aims of or adherence to and active participation in any foreign or domestic organization, association, movement, group, or combination of persons which unlawfully advocates or practices the commission of acts of force or violence to prevent others from exercising their rights under the Constitution or laws of the United States or of any state, or which seeks to overthrow the Government of the United States or any state or subdivision thereof by unlawful means.

j. Intentional, unauthorized disclosure to any person of security information, or of other information disclosure of which is prohibited by law, or willful violation or disregard of security regulations.

k. Performing or attempting to perform duties or otherwise acting so as to serve the interest of another Government in preference to the interests of the United States.

l. Refusal by the individual upon the ground of constitutional privilege against self-incrimination to testify before a congressional committee regarding charges of alleged disloyalty or other misconduct.

3-7. Restrictions. E.O. 12968 specifies the following restrictions in applying the security standard and criteria:

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a. In granting access to classified information there shall be no discrimination on the basis of race, color, religion, sex, national origin, disability, or sexual orientation.

b. In determining eligibility for access, an agency may investigate and consider any matter that relates to the determination of whether access is clearly consistent with the interests of national security. However, no inference concerning the security standard and criteria may be raised solely on the basis of a person's sexual orientation.

c. No negative inference concerning the security standard and criteria may be raised solely on the basis of mental health counseling. Such counseling can be a positive factor in eligibility determinations. However, mental health counseling, where relevant to the adjudication of access to classified information, may justify further inquiry to determine whether the standard and criteria are satisfied, and mental health may be considered when it directly relates to the standard and criteria.

3-8. Coordinating information. Human resource management officials and all DOT supervisors shall furnish to their servicing security organization any information they receive concerning employees or applicants under their jurisdiction that may affect their suitability for employment or their holding of a security clearance because of the standards and criteria stated in this section.

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Chapter 4

POSITION SENSITIVITY AND RISK LEVEL DESIGNATION

Section 1 - General requirements and definitions

4-1. All DOT positions must be designated as to their level of risk in terms of suitability and access to Automated Information Systems (AIS), and level of sensitivity in terms of national security.

a. Sensitivity Designation. Every position having national security duties must be designated at a national security sensitivity level necessary to ensure appropriate screening under E.O. 10450. Sensitivity designation is based on an assessment of the degree of damage that an individual occupying a particular position could cause to the national security.

b. Risk Level Designation. Every position not receiving a designation as a national security position shall be designated at a position risk level commensurate with the public trust responsibilities and attributes of the position as they relate to the efficiency of the service. The suitability risk levels are ranked according to the degree of adverse impact on the efficiency of the service that an unsuitable person could cause. Every position where the incumbent has access to or the responsibility for AIS facilities, systems, or activities must be designated at a risk level commensurate with the responsibilities and other attributes of the position based on the extent to which an incumbent could cause damage to an AIS or realize significant personal gain.

4-2. The servicing security organization, working with human resources organizations and employing offices, has overall responsibility for ensuring the correct risk and sensitivity level designation of every position within its jurisdiction. All new position descriptions, or groups of position descriptions, should be coordinated with the security organization before sensitivity or risk levels are designated, and the security organization shall approve any changes in a position's sensitivity or risk level designation. Designations may be by class, group, or categories of positions, when appropriate, or may be by an individual position when circumstances warrant.

4-3. There are three position risk levels, as follows:

a. Low Risk. These are positions that have potential for impact involving duties of limited relation to the agency mission with program responsibilities which affect the efficiency of the service. This level includes positions that have limited impact on AIS.

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b. Moderate Risk. These are public trust positions that have the potential for moderate to serious impact involving duties of considerable importance to the agency or program mission with significant program responsibilities and delivery of customer services to the public. This level includes positions which have significant program responsibilities that affect large AIS.

c. High Risk. These are public trust positions which have the potential for exceptionally serious impact involving duties especially critical to the agency or a program mission with broad scope of policy or program authority. This level includes positions that have major program responsibilities affecting AIS.

4-4. There are three sensitivity levels for designating positions with regard to national security:

a. Noncritical-sensitive (NCS). These are positions with potential for causing serious damage to the national security.

b. Critical-sensitive (CS). These are positions with the potential for causing exceptionally grave damage to the national security.

c. Special-sensitive (SS). These are positions that an agency determines to be at a level higher than critical-sensitive because of special requirements other than authority under E.O. 10450. This category includes all positions requiring access to SCI.

4-5. Servicing security organizations shall use the risk level designation process outlined in Section 2 of this chapter and Appendix 5, Position Risk Level Designation Process, or a similar process issued or approved by M-40, to ensure that DOT designates positions uniformly and consistently. This process includes the criteria for designating risk levels based on AIS duties and responsibilities.