PWS Attachment B Position Designation System with Glossary 2017.pdf

September 2017

POSITION DESIGNATION

As required by section 1400.201(b) of title 5, Code of Federal Regulations (CFR), this system is for uniform and consistent position designation of:

a) 1National security positions in the competitive service, the excepted service where the incumbent can be noncompetitively converted to the competitive service, and Senior Executive Service (SES) positions held by career appointees in the SES within the executive branch;

b) 2All “covered positions” as defined in 5 CFR 731.101;

c) 3Other excepted service positions within the executive branch and contractor positions, when authorized by agency policy and to the extent consistent with law, or when directed by the Security Executive Agent; and

d) 4Any positions, including contractor employee positions, when the investigation will be conducted under the Federal Investigative Standards prescribed by the Office of Personnel Management and the Office of the Director of National Intelligence in December 2012.

To determine the proper designation of a position and its required corresponding level of investigation, the position description and any other necessary supplemental information (e.g. human resources, management and security office input) must be carefully evaluated to assess the nature of the position as it relates to the potential material adverse impact to the national security, and -– if it is a covered position under part 731 -- its impact on the efficiency or integrity of the service.

The following position designation system consists of a four-step process that will guide the designator through an examination of the position’s duties and responsibilities. The completion of this process will result in a final designation for the position which, in turn, will determine the investigative requirements for the position in question.

It is important to keep in mind that for covered positions as defined in 5 CFR part 731, the designator must look at both national security and public trust duties and responsibilities. Some duties accounted for herein occur under both the national security and public trust sections of the process because of the duty’s potential impact on one concern and/or the other. For covered positions, a critical-sensitive or special-sensitive national security designation automatically confers high-risk public trust designation, and a noncritical-sensitive national security designation automatically confers a moderate-risk public trust designation unless, as described in the following sections of the position designation system, it requires a higher designation. See 5 CFR 1400.201(c), (d).

1 5 CFR 1400.102(b) 2 5 CFR 731.106(a) 3 5 CFR 1400.102(b) 4 Pursuant to an assignment of functions under section 2.2(e) of E.O. 13467, the December 2012 Federal Investigative Standards apply to investigations for contractor employee fitness.

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POSITION DESIGNATION RECORD

Agency Position Title

Series and Grade/Pay Band Position Description Number

Designator’s Name & Title

Step 1.A.: National Security Requirements of the Position:

The designation of national security positions is outlined in part 1400 of title 5, Code of Federal Regulations. Each position in the Federal service must be evaluated for a position sensitivity designation commensurate with the responsibilities and assignments of the position as they relate to the impact on the national security. Such responsibilities and assignments include, but are not limited to, access to classified information (i.e., Confidential, Secret, or Top Secret) and any other duties by which the occupant could bring about a material adverse effect on the national security by virtue of the nature of the position. See 5 CFR 1400.102(a) and 1400.201(a). Such positions will be designated, based upon the degree of potential damage, at one of three sensitivity levels: Noncritical-Sensitive, Critical-Sensitive, or Special-Sensitive.

Read the position description and obtain any other supplemental information needed to assess the position duties and responsibilities.

The regulation sets forth a list of general categories of national security position requirements, duties, and responsibilities. Mark next to all of the categories of duties and responsibilities that apply to the position. If any of the categories are marked on this page, go to Step 1.B. to assess the degree of potential material adverse impact to national security.

(Note that underlined words and phrases appearing on this page and throughout the following pages are further defined in the attached Glossary.)

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NATIONAL SECURITY POSITION REQUIREMENTS, DUTIES AND RESPONSIBILITIES5:

[ ] Requires eligibility for access to classified information (page 4) [ ] Homeland security and duties involving protecting the nation’s borders, ports, critical infrastructure or key resources (page 5) [ ] Developing plans or policies related to national defense or military operations (page 6) [ ] Planning or conducting intelligence or counterintelligence activities, counterterrorism activities or related activities concerned with the preservation of the military strength of the United States (page 7) [ ] Protecting or controlling access to facilities or information systems (page 8) [ ] Controlling, maintaining custody, safeguarding, or disposing of hazardous materials, arms, ammunition or explosives (page 9) [ ] Investigative or adjudicative duties related to national security, suitability, fitness or identity credentialing (page 10) [ ] Duties related to criminal justice or law enforcement (page 11) [ ] Conducts internal or external investigations, inquiries or audits of the functions listed here in Step 1 (page 12) [ ] National security policy-making or policy-determining responsibility (page 13) [ ] Public health and safety (page 14) [ ] Fiduciary responsibility in support of activities with national security impact (page 15) [ ] Unclassified information (e.g. private, controlled unclassified, or proprietary information) (page 16) [ ] Other duties that could otherwise bring about a material adverse effect on the national security (page 16) Explain:

If none of the categories are marked continue to Step 2.A., starting on page 17.

5 If using the system to designate contractor positions, you assess the duties the incumbent will be performing for or on behalf of the Federal Government, not the duties the incumbent performs for their contractor employer. For example, a position may have various national security responsibilities performing work specifically for or on behalf of the Federal Government; however, a peripheral responsibility of the position, specifically performed for their contractor employer, might involve audits of the contractor staff functions and performance related to the national security contract the employer maintains with the Federal Government. This peripheral duty should not be considered when designating the contractor position. In other words, the designator should not select “Investigation, oversight, and audits of government personnel, programs, and activities” as a duty to be assessed in the context of the position's potential to bring about a material adverse effect on the national security because that duty is not being performed for or on behalf of the Federal Government.

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Step 1.B.: Determine the potential damage to the national security.

For each duty/responsibility category you checked in Step 1.A., use the charts below, working from left to right, to identify the appropriate degree of potential damage to the national security that the occupant could bring about by virtue of the nature of the position.6 Check only one column per duty. If you select either of the first two columns on the left, no further assessment after 1.B. is needed. After making your selection, you will find the resulting position designation and further instruction in the bottom row of the checked column. You must complete this process (i.e.

assess the entire corresponding table) for each duty category selected in Step 1.A., unless you have selected the first column, resulting in a designation of Automatic Special-Sensitive/High Risk, which would require no further assessment and would direct you to proceed to Step 4.

Degree of Potential Damage to the National Security

Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage

Significant or Serious Damage No Material Adverse Effect on National Security

Requires eligibility for access to classified information

[ ] Position requires eligibility for access to Sensitive Compartmented Information (SCI), other intelligence-related Special Sensitive information, or involvement in Top Secret Special Access Programs

(SAP)

[ ] Position requires eligibility for access to Top Secret or “Q” level information

[ ] Position requires eligibility for access to Secret, Confidential, or “L” level information

[ ] Position does not require eligibility for access to classified information

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary;

proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special- Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

6 Charts are derived from the regulations. See 5 CFR 1400.201.

http://www.ecfr.gov/cgi-bin/text-idx?SID=ea8d9b7f129b58c4b512ea9d68a44761&mc=true&node=pt5.3.1400&rgn=div5#se5.3.1400_1201

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National

Security Homeland security and aggression, including duties involving protecting borders, ports, critical infrastructure or key resources (Protecting the U.S., its citizens and residents, borders, ports, critical infrastructure7, and key resources8

(CIKR))

[ ] One or more of the following when there is the potential to cause inestimable damage to national security:

• Independent responsibility for, and the ability to act without detection to compromise or exploit, the protection, control, and safety of the nation’s borders and ports, immigration or customs control or policies,

• Independent responsibility for protecting CIKR against acts of terrorism, espionage, or foreign aggression

• Independent responsibility for life-critical/mission-critical systems

• Independent responsibility for, and the ability to act independently without detection to compromise or exploit, the design, installation, operation, or maintenance of CIKR systems or programs

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security:

• Major and immediate responsibility for, and the ability to act independently without detection to compromise or exploit, the protection, control, and safety of the nation’s borders and ports, immigration or customs control or policies

• Major and immediate responsibility, with the ability to act independently, for protecting CIKR against acts of terrorism, espionage, or foreign aggression

• Major and immediate responsibility for significant life-critical/mission-critical systems, with potential for exceptionally grave damage to essential government operations or national infrastructure

• Major and immediate responsibility for, and the ability to act independently without detection to compromise or exploit, the design, installation, operation, or maintenance of CIKR systems or programs

[ ] One or more of the following when there is the potential to cause significant or serious damage to national security:

• Responsibility for the protection, control, and safety of the nation’s borders and ports, immigration or customs control or policies – with moderate autonomy or ability for independent action

• Responsibility for protecting CIKR against acts of terrorism, espionage, or foreign aggression – with moderate autonomy or ability for independent action

• Responsibility for life-critical/mission-critical systems – with moderate autonomy or ability for independent action

• Involved in the design, installation, operation, or maintenance of critical infrastructure systems or programs – with moderate autonomy or ability for independent action

[ ] Duties are of such a minor or inconsequential nature, with autonomy limited by supervision, and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

7 Critical infrastructures are systems and assets, whether physical or virtual, so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on security, national economic security, national public health or safety, or any combination of those matters. 5 CFR 1400.102(a)(1) 8 Key resources are publicly or privately controlled resources essential to the minimal operations of the economy and government. 5 CFR 1400.102(a)(2)

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage

Significant or Serious Damage No Material Adverse Effect on National Security

Developing plans and policies related to national defense or military operations

[ ] Position requires eligibility for access to Sensitive Compartmented Information (SCI), other intelligence-related Special Sensitive information, or involvement in Top Secret

[ ] One or more of the following:

• Development or approval of war plans

• Development or approval of major or special military operations

• Development or approval of critical and extremely important items of war

[ ] Any knowledge of military operations or items of war the compromise of which could result in significant or serious damage to the national security

[ ] Knowledge is of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary;

proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special- Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Planning or conducting intelligence or counterintelligence activities, counterterrorism activities or related activities concerned with the preservation of the military strength of the United States

[ ] One or more of the following when there is the potential to cause inestimable damage to national security:

• Knowledge of, planning for, or participation in significant and important activities related to intelligence, counterintelligence, or counterterrorism – with complete authority or freedom to act independently

• Identification, disruption, or neutralization of, or protection against, hostile intelligence or terrorist activities – with complete authority or freedom to act independently

• Activities are critical and extremely important to the preservation of the military strength of the United States

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security:

• Knowledge of, planning for, or participation in significant and important activities related to intelligence, counterintelligence, or counterterrorism – with broad authority or freedom to act independently

• Identification, disruption, or neutralization of, or protection against, hostile intelligence or terrorist activities – with broad authority or freedom to act independently

• Activities are critical and extremely important to the preservation of the military strength of the United States

[ ] One or more of the following when there is the potential to cause significant or serious damage to national security:

• Knowledge of, planning for, or participation in significant and important activities related to intelligence, counterintelligence, or counterterrorism – with limited autonomy or ability for independent action

• Identification, disruption, or neutralization of, or protection against, hostile intelligence or terrorist activities – with limited autonomy or ability for independent action

[ ] No direct involvement in planning or conducting intelligence, counterintelligence, or counterterrorism activities that are important to preserving National Security; any knowledge of such activities is of such a minor or inconsequential nature, and/or internal controls are so significant, that there is no reasonable expectation that there could be significant or serious damage national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special- Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Protecting or controlling access to facilities or information systems (Duties encompass responsibilities exceeding basic Personal Identity Verification (PIV) card vetting, processing, and issuance)

[ ] One or more of the following when there is the potential to cause inestimable damage to national security:

• Independent responsibility for identity vetting and/or unrestricted access to materials for producing credentials and badges, the compromise of which could result in inestimable damage to the national security

• Unlimited access to and/or control of access to designated restricted areas or facilities, property, or information systems that maintain materials or national security information classified at the SCI level

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security:

• Independent responsibility for identity vetting and/or unrestricted access to materials for producing credentials and badges, the compromise of which could result in grave damage to the national security

• Access to and/or controlling access to designated restricted areas, property, or information systems that house materials or information (including but not limited to Top Secret or “Q” information)

[ ] One or more of the following when there is the potential to cause significant or serious damage to national security, through limited autonomy:

• Responsibility for identity vetting and/or access to materials for producing credentials and badges permitting access to facilities or information systems, the compromise of which could result in significant or serious damage to the national security

• Access to and/or controlling access to designated restricted areas or facilities, property, information systems that maintain materials or national security classified at the Secret, Confidential or “L” level

[ ] Duties are of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special- Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), BACK to list of National Security duties (Step 1) 9

Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Controlling, maintaining custody, safeguarding, or disposing of hazardous materials, arms, ammunition or explosives

[ ] Position requires eligibility for access to Sensitive Compartmented Information (SCI), other intelligence-related Special Sensitive information, or involvement in Top Secret

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security:

• Ability to independently compromise or exploit biological select agents or toxins, chemical agents, nuclear materials, or other hazardous materials

• Ability to independently compromise or exploit the nation’s nuclear or chemical weapons designs or systems

• Direct, unrestricted control over supplies of arms, ammunition, or explosives or control over any weapons of mass destruction

[ ] One or more of the following when there is the potential to cause significant or serious damage to national security, through limited autonomy:

• Limited access or control over biological select agents or toxins, chemical agents, nuclear materials, or other hazardous materials

• Limited access or control over the nation’s nuclear or chemical weapons designs or systems

• Limited access or control over supplies of arms, ammunition, or explosives or control over any weapons of mass destruction

[ ] Duties are of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary;

proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special- Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage

No Material Adverse Effect on National Security

Investigative or adjudicative duties related to national security, suitability, fitness or identity credentialing when there is the potential to cause inestimable damage to national security:

• Investigative duties (includes conducting counter-intelligence or background investigations or handling completed investigations classified at the SCI level)

• National security adjudicative determinations, or granting personnel security clearance eligibility, or making other adjudicative determinations (such as suitability, fitness, or credentialing determinations) for positions at the special-sensitive level

• Duty on personnel security boards for SCI eligibility determinations

[ ] One or more of the following:

• Investigative duties at tiers 3, 4 and 5 of the Federal Investigative Standards (FIS)

(includes handling completed counter-intelligence or background investigations)

• Adjudicative determinations (includes adjudicative recommendations) concerning national security, suitability, fitness, credentialing, or granting personnel security clearance eligibility for positions investigated at tiers 3, 4 and 5 of the FIS

• Duty on personnel security boards

[ ] One or more of the following:

• Investigative duties at tiers 1 and 2 of the FIS (includes handling incomplete or parts of counter-intelligence or background investigations

• Adjudicative determinations (includes adjudicative recommendations) concerning suitability, fitness or credentialing eligibility for positions investigated at tiers 1 and 2 of the FIS

[ ] Duties are of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made;

Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), BACK to list of National Security duties (Step 1) 11

Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Duties related to criminal justice or law enforcement affecting national security matters

[ ] One or more of the following where the incumbent’s neglect, action or inaction could cause inestimable damage to national security:

• Independent responsibility for coordinating and/or conducting criminal investigations concerning highly sensitive matters

• Independent responsibility for criminal justice or law enforcement activities

[ ] One or more of the following where the incumbent’s neglect, action or inaction could cause exceptionally grave damage to national security:

• Major and immediate responsibility for coordinating and/or conducting criminal investigations concerning highly sensitive matters

• Major and immediate responsibility for criminal justice or law enforcement activities

[ ] One or more of the following where the incumbent’s neglect, action or inaction could cause significant or serious damage to national security:

• Conducting criminal investigations, with moderate autonomy or potential for independent action, concerning sensitive matters

• Conducting criminal justice or law enforcement activities, with moderate autonomy or potential for independent action, concerning sensitive matters

• Responsibility for the protection, control and enforcement of the nation’s public health or safety policies – with moderate autonomy or ability to negatively impact or damage national security

• Responsibility for protecting the nation’s public health or safety against acts of terrorism, espionage, or foreign aggression– with moderate autonomy or ability to negatively impact or damage national security

[ ] Duties are of such a minor or inconsequential nature and/or internal controls and supervision are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made;

Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Conducts internal and/or external investigations, inquiries, or audits related to national security functions listed in Step 1

[ ] Conducts internal and/or external investigations, inquiries, or audits related to national security matters where neglect, action or inaction could cause inestimable damage to national security

[ ] Conducts internal and/or external investigations, inquiries, or audits related to national security matters where neglect, action, or inaction could cause exceptionally grave damage to the national security

[ ] Conducts internal and/or external investigations, inquiries, or audits related to national security matters where neglect, action, or inaction could cause significant or serious damage to the national security

[ ] Involvement with internal and/or external investigations, inquiries or audits is so minor or inconsequential in nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made;

Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

National security policy-making or policy-determining responsibility

[ ] One or more of the following when there is the potential to cause inestimable damage to national security:

• Senior management officials for critical government programs impacting national security

• Independent responsibility for national security policy-making or policy-determining

• Direct involvement with diplomatic relations and negotiations, with the ability to act independently

• Independent, agency spokesperson concerning extremely sensitive/controversial matters for critical government programs impacting national security

• Independent responsibility for planning or approving continuity of government operations

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security:

• Senior management officials for key government programs impacting national security

• Major and immediate responsibility for national security policy-making or policy-determining

• Direct involvement with diplomatic relations and negotiations

• Independent, agency spokesperson concerning sensitive/controversial matters for key government programs impacting national security

• Independent responsibility for planning or approving continuity of government operations

[ ] One or more of the following when there is the potential to cause significant or serious damage to national security:

• Management duties in government programs that impact national security

• Substantial responsibility supporting individuals directly involved with diplomatic relations and negotiations

• Substantial responsibility for developing policies, regulations and/or rule-making for significant government programs affecting national security

• Substantial responsibility supporting individuals serving as agency spokesperson concerning national security matters

• Serves in advisory role to senior agency officials who complete one or more of the above duties

[ ] One or more of the following:

• Policy input is limited to providing unclassified or non-sensitive technical input or administrative support

• Other duties related to policy with no potential to cause significant or serious damage to the national security

• Policy and program responsibility is related to public trust in the efficiency and integrity of the service rather than national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made;

Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Public health and safety

For example, National security concerns related to:

• Food supply safety

• Drug safety

• Pandemic disease prevention and control

• Urgent public health threats

• Transportation system safety (aviation, highway, railroad, and maritime) following when there is the potential to cause inestimable damage to national security with devastating results of a widespread or incapacitating nature:

• Independent responsibility for the protection, control and enforcement of the nation’s public health or safety policies, with the ability to act without detection to compromise national security with devastating results

• Independent responsibility for protecting the nation’s public health or safety against acts of terrorism, espionage, or foreign aggression, with the ability to act without detection to compromise national security with devastating results

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security (effect may be regional, or multi-state, or the impact is controllable within a reasonable period of time and expending moderate resources):

• Major and immediate responsibility for the protection, control and enforcement of the nation’s public health or safety policies, with the ability to act independently without detection to compromise national security with devastating results

• Major and immediate responsibility for protecting the nation’s public health or safety against acts of terrorism, espionage, or foreign aggression, with the ability to act independently without detection to compromise national security with devastating results

[ ] One or more of the following when there is the potential to cause significant or serious damage to national security (effect may be local or isolated to a single location, or the impact is controllable within a reasonable period of time and expending minimal resources) :

• Responsibility for the protection, control and enforcement of the nation’s public health or safety policies

– with moderate autonomy or ability to negatively impact or damage national security

• Responsibility for protecting the nation’s public health or safety against acts of terrorism, espionage, or foreign aggression– with moderate autonomy or ability to negatively impact or damage national security

[ ] Duties are of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be a material adverse effect on national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary; proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made;

Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a

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Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Fiduciary responsibility in support of activities with national security impact9

[ ] Position requires eligibility for access to Sensitive Compartmented Information (SCI), other intelligence-related Special Sensitive information, or involvement in Top Secret

[ ] One or more of the following when there is the potential to cause exceptionally grave damage to national security:

• Obligates, expends, collects or controls revenue or funds in excess of $50 million

• Procures or secures funding for goods and/or services with monetary value in excess of $50 million annually

• Obligates or controls items with a monetary value in excess of $50 million

• Audits or analyzes budgets or other financial records when there is the potential to cause significant or serious damage to national security:

• Obligates, expends, collects or controls revenue or funds material to national security

• Procures or secures funding for goods and/or services with monetary value material to national security

• Obligates or controls items with a monetary value material to national security

• Audits or analyzes budgets or other financial records

[ ] Fiduciary responsibilities are of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary;

proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special-Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a

9 If the dollar amount associated with fiduciary duties is unknown, obtain sufficient information about the responsibilities of the position, including the level of authority, the scope of impact, the potential to cause damage to the national security, and to establish whether the potential damage is significant or serious, exceptionally grave or inestimable. (For example, some considerations might include the scope of contracts funded, the extent of operations a budget affects, whether the individual will have signature authority to obligate funds, etc.)

BACK to list of National Security duties (Step 1) 16

Duties/ Responsibilities

Inestimable Damage Exceptionally Grave Damage Significant or Serious Damage No Material Adverse Effect on National Security

Unclassified information (e.g.

private, controlled unclassified, or proprietary information) significant to national security

[ ] Unlimited access to and control over unclassified information, which may include private, proprietary or other controlled unclassified information when there is the potential to cause inestimable damage to national security

[ ] Unlimited access to and control over unclassified information, which may include private, proprietary or other controlled unclassified information, but only where the unauthorized disclosure of that information could cause exceptionally grave damage to national security

[ ] Limited access to and control over unclassified information, which may include private, proprietary or other controlled unclassified information, but only where the unauthorized disclosure of that information could cause significant or serious damage to national security

[ ] Access to unclassified information is minimal and is of such a minor or inconsequential nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Other duties that could otherwise bring about a material adverse effect on national security

[ ] Other duties, when there is the potential to cause inestimable damage to national security; explain:

[ ] Other duties, when there is the potential to cause exceptionally grave damage to national security; explain:

[ ] Other duties, when there is the potential to cause significant or serious damage to national security; explain:

[ ] Duties are so minor or inconsequential in nature and/or internal controls are so significant that there is no reasonable expectation that there could be significant or serious damage to national security

Position Designation

-Automatic Special-Sensitive /High Risk; No further assessment necessary;

proceed to Step 4.

-Automatic Critical-Sensitive/High Risk, unless a subsequent assessment resulting in Special- Sensitive is made; Assess any remaining selections from Step 1.A., and then proceed to Step 4.

-Non-Critical Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

-Non-Sensitive; Assess any remaining selections from Step 1.A., and then assess under Public Trust (Step 2), unless a subsequent assessment directs you to proceed to Step 4.

Step 2.A.: Suitability Requirements

The designation of covered positions is outlined in section 731.106 of title 5, Code of Federal Regulations. Every covered position must be designated at the low, moderate, or high risk level as determined by the position's potential for adverse impact on the efficiency and integrity of the service. As the level of authority and responsibility of a position becomes greater, character and conduct become more significant in deciding whether employment or continued employment would protect the integrity or promote the efficiency of the Federal service. 5 CFR 731.106(b) set forth general categories of public trust position requirements, duties, and responsibilities. Read the position description and obtain any other necessary information (e.g. management input) to determine if any of the following duties apply to the position. (The focus of this preliminary review should be on the actual duties of the position rather than on the agency mission or the program in which the position is located.)10 Mark next to the categories of duties that apply to the position. If any of the categories are marked, go to Step 2.B. In Step 2.B., you will further evaluate the position’s duties to determine the degree to which any misconduct could impact on the efficiency or integrity of the service.

PUBLIC TRUST POSITION REQUIREMENTS, DUTIES, AND RESPONSIBILITIES (UNRELATED TO NATIONAL SECURITY):

[ ] Government operations – rulemaking, policy, and major program responsibility (includes regulation or policy making, directing, implementing, advising and audits) (page 18)

[ ] Public safety and health services, regulation, enforcement, and protection (Food safety and inspection, occupational health and safety, transportation safety, environmental safety and hazard mitigation) (page 19)

[ ] Law Enforcement or criminal justice duties (page 19) [ ] Protection of government funds for non-national security operations (page 20) [ ] Customs, Immigration, and/or Critical Infrastructure and Key Resources (page 21) [ ] Hazardous material handling and transportation (page 21) [ ] Physical security, controlling facility or physical access to information technology, and/or controlled access to arms, ammunitions, or explosives (page 22) [ ] Investigation, oversight, and audits of government personnel, programs, and activities (page 22) [ ] Adjudication of matters or claims (other than national security, suitability, fitness, or credentialing) with the potential to impact the public’s trust (page 23) [ ] Protection of government information technology systems (supervision or control of information technology systems, authority to bypass significant technical and operational security controls for general support systems, or access to major applications – the scope of these duties exceed that of ordinary or routine computer use) (page 24)

[ ] Protection of personal, private, controlled unclassified, or proprietary information with the potential to damage the public’s trust (includes access to or processing of personal information such as that protected by the Privacy Act (PA) of 1974, exempt from disclosure under the Freedom of Information Act (FOIA), financial data, or privileged information involving the award of contracts, contractor proprietary information, etc.) (page 25)

[ ] Government service delivery, including customer service or public liaison duties (page 25) [ ] Other activities demanding a degree of public trust (Specify any other specific duties that are not otherwise covered): (page 26)

If none of the above categories are marked, the position is designated “low risk.” Continue to Step 4, and consider this result in combination with the results from Step 1 to determine the appropriate level of investigation for the position.

10 If using the system to designate contractor positions, you assess the duties the incumbent will be performing for or on behalf of the Federal Government, not the duties the incumbent performs for their contractor employer. For example, a position may involve customer service or liaison between the contractor and the Federal Government, just as a natural part of doing business. However, if the work being performed for or on behalf of the Federal Government does not involve customer service or liaison (e.g. providing telephonic customer service/information concerning a government program), then you would not select “Government service delivery, including customer service or public liaison duties” as a duty to be assessed in the context of the position's potential for adverse impact on the efficiency and integrity of the service.

BACK to list of Public Trust duties (Step 2A) 18

Step 2.B.: Determine the potential impact of the position on the efficiency or integrity of the service (public trust).

For each duty identified in Step 2.A., use the charts below, working from left to right, to identify the appropriate degree of potential damage to the public trust from misconduct. Check only one column per duty.

Note: At a minimum, supervisors or managers should be included at the same level as their employees, whether or not they personally do the work described, since they hold responsibility for the outcome of the work.

Degree of Potential Damage to the Public Trust from Misconduct

Responsibilities

Automatic High-Risk Conditions

Severe impact Moderate impact Limited impact

Government operations – rulemaking, policy and major program responsibility (includes regulation or policy making, directing, implementing, advising and audits)

[ ] Senior management official for critical government programs, the compromise of which could result in grave damage to the public’s trust

[ ] One or more of the following:

• Senior management duties or assignments that do not rise to the level of an automatic High-Risk condition

• Substantial responsibility for approving regulations and/or rule-making agendas for significant government programs impacting the public’s trust

• Independent responsibility for planning or approving continuity of government operations

• Sets policy for significant government programs impacting the public’s trust

• Independent agency spokesperson concerning delicate controversial matters impacting the public’s trust

• Serves in advisory role to senior agency officials who complete one or more of the above duties

• Mid-level management duties or assignments

• Assists agency rule-makers or policy decision-makers for significant public trust government programs in an influential way

• Responsible for independent or semi-independent action with moderate impact on efficiency and integrity or the service

• Significant public contact about important government programs impacting the public’s trust

• Management duties with less than moderate impact on programs

• Regulation or policy input is limited to contributing to working groups or providing technical input

BACK to list of Public Trust duties (Step 2A) 19

Duties/ Responsibilities

Automatic High-Risk Conditions

Severe impact Moderate impact Limited impact

Public safety and health services, regulation, enforcement, and protection…