VA_Handbook_0710_08_Sept_2025.pdf

Department of Veterans Affairs VA HANDBOOK 0710 Washington, DC 20420 Transmittal Sheet September 08, 2025

PERSONNEL VETTING PROGRAM

1. REASON FOR ISSUE: This handbook provides updated guidance and revised policies and procedures for the Department of Veterans Affairs (VA) Personnel Vetting Program (PVP).

2. SUMMARY OF CONTENTS/MAJOR CHANGES: This handbook implements the policies contained in VA Directive 0710, Personnel Vetting Program, and revises procedures for managing and administering the VA PVP to include:

a. Changes the title of Personnel Security and Suitability Program to Personnel Vetting Program.

b. Changes the title of National Background Investigation Bureau to Defense Counterintelligence and Security Agency (DCSA).

c. Establishing aligned personnel vetting investigative and adjudicative processes for determining suitability and fitness.

d. Establishes the requirements when investigations must be conducted for appointments to the civil service or to work as a contractor and/or affiliate.

e. Removes the periodic reinvestigation requirement for public trust (moderate or high risk) positions.

f. Establishes the requirements for enrolling populations in low, moderate, or high-risk positions into continuous vetting.

g. Establishes VA Personnel Security authority for Oversight and Compliance.

h. Changes the title from Security and Investigation Center to Personnel Security Adjudication Center (PSAC).

3. RESPONSIBLE OFFICE: Office of Human Resources and Administration/ Operations Security and Preparedness (HRA/OSP) (006), Office of Identity, Credential and Access Management (OICAM) (07C).

4. RELATED DIRECTIVE: VA Directive 0710, Personnel Vetting Program, dated September 08, 2025.

5. RESCISSION: VA Handbook 0710, Personnel Suitability and Security Program, May 2, 2016.

Department of Veterans Affairs VA HANDBOOK 0710 Washington, DC 20420 Transmittal Sheet September 08, 2025

CERTIFIED BY:

/s/ Nathan T. Sanfilippo Acting Assistant Secretary for Enterprise Integration

DISTRIBUTION: Electronic Only

BY DIRECTION OF THE SECRETARY

OF VETERANS AFFAIRS:

/s/ Mark R. Engelbaum Assistant Secretary for Human Resources and Administration/ Operations, Security, and Preparedness

VA Handbook 0710 September 08, 2025

TABLE OF CONTENTS

1. PURPOSE

2. SCOPE

3. RESPONSIBILITIES

4. REFERENCES

5. DEFINITIONS

APPENDIX A. PERSONNEL VETTING PROGRAM REQUIREMENTS

APPENDIX B. FEDERAL VETTING/SUITABILITY, EXCEPTED SERVICE AND

CONTRACTOR EMPLOYEE FITNESS REQUIREMENTS

APPENDIX C. NATIONAL SECURITY ADJUDICATIONS AND REQUIREMENTS FOR

NATIONAL SECURITY POSITIONS, ELIGIBILITY AND ACCESS TO CLASSIFIED

INFORMATION AND/OR SENSITIVE COMPARTMENTED INFORMATION (SCI) .. 25

APPENDIX D. NATIONAL SECURITY DUE PROCESS

APPENDIX E. VA CENTRALIZED ADJUDICATION BACKGROUND INVESTIGATION

SYSTEM (VA-CABS)

PERSONNEL VETTING PROGRAM

1. PURPOSE. This handbook establishes and implements policy, procedures, guidelines, program responsibilities, standards and reporting protocols for the VA Personnel Vetting Program (PVP), which includes personnel security, suitability, and fitness determinations for individuals who work for or on behalf of VA. The Federal personnel vetting program encompasses vetting for suitability, fitness, national security (eligibility for or continued access to classified information or to hold a sensitive position) and issuing a Federal identity credential. The Federal personnel vetting program is aligned with and supportive of the Federal Government’s broader efforts to recruit and retain a diverse and talented workforce. The PVP:

a. Assigns responsibilities and prescribes procedures to conduct background investigations at all tier levels.

b. Sets procedures for eligibility to occupy a sensitive position and/or national security eligibility for access determinations.

c. Changes the way in which fitness is determined by aligning the factors and additional considerations used for fitness determinations with those used for suitability.

d. Prescribes procedures for administrative due process for employees and contractors.

e. Mandates VA use the same system for designating position risk (i.e., low, moderate, and high) for civil service, contractor employee, and affiliate positions to determine the commensurate level of background investigation. Background investigations conducted for these positions will be done using the same investigative standards, which prescribe the investigative checks to be conducted at low, moderate, and high tiers that correlate to position risk. Finally, agencies will apply the same rules for determining whether reciprocal acceptance of prior background investigation and suitability or fitness determinations are required, promoting efficient transfer of trust determinations.

f. Establishes the minimum standards of fitness for the excepted service as described in 5 CFR 302.108, which references part 731 for requirements on fitness determinations for excepted positions. Establishes that an agency must record its reason(s) for making fitness determinations under part 731 and must furnish a copy of those reasons to an applicant upon their request. Section

302.203 directs readers to part 731 for the minimum standards and criteria for determining fitness for employment based on character and conduct, allowing agencies to prescribe additional factors to protect the integrity and promote the efficiency of the service when job-related and consistent with business necessity.

https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-302 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731#731.202 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731#731.202

2. SCOPE. This handbook applies to all individuals working for, or on behalf of, the VA, with or without compensation, who require access to VA-owned facilities, VA controlled facilities or commercial facilities operating on behalf of VA, VA information technology (IT) systems or their data, or sensitive information and/or access to national security information.

3. RESPONSIBILITIES.

a. Personnel Security Specialists shall:

(1) Assist human resources, contracting program and other specialized offices (volunteer, education, etc.) with risk designation for their respective duties to include determination of intermittent positions that do not require an investigation, positions subject only to credentialing standards for badge issuance, and those not eligible for investigations due to United States residency requirements for foreign nationals.

(2) Base suitability determinations on the presence or absence of one or more of the specific factors in 5 CFR 731.202(b) while considering the additional considerations in 5 CFR 731.202(c).

(3) Determine whether the character and conduct of an individual may have an adverse impact on the integrity or the efficiency of the Federal service, by reviewing the report of investigation to identify actionable issues, in accordance with suitability factors, and making an initial assessment of the issues. Information should be analyzed in terms of its relevancy, the nature and seriousness of the conduct, the circumstances surrounding the conduct, the recency of the conduct, the age of the person at the time of the conduct, the contributing societal conditions, the presence, or absence of rehabilitation, as well as the nature of the position for which the person is applying or in which the person is employed.

(4) Meet the requirements of the National Training Standards issued by the Office of Personnel Management (OPM) and the Office of the Director of National Intelligence (ODNI) prior to rendering an adjudicative determination.

(5) Be familiar with laws, regulations, standards, and criteria governing suitability and fitness adjudication.

(6) Be able to obtain and maintain a Tier 5 level investigation.

b. Human Resources Officers shall:

(1) Ensure job announcements and notices of personnel action clearly state requirements for suitability and fitness determination and any specific requirement to obtain and maintain eligibility for access to classified information.

(2) Ensure a review takes place whenever an employee is moved from one Position Designation (PD) to another either by promotion, demotion, or re-assignment, to verify the risk and sensitivity level of the position. If the risk or sensitivity level of the position has changed and the incumbent’s background investigation is insufficient for the new designation, a new investigation must be initiated within 14 days of the change.

c. Contract Program or Project Managers shall:

(1) Ensure appropriate language is included in applicable contracts so that the Statement of Work (SOW) or other defining documentation related to the contract accurately reflects the requirements of this directive and other applicable VA directives and handbooks.

(2) Complete a position designation using the SOW or other defining documentation related to the contract and the OPM, Position Designation Tool (PDT)

d. Contracting Officers shall: Ensure appropriate personnel security clauses are included in contracts.

e. Volunteer Service Officers/Designated Education Officers/Other specialized office leaders shall:

(1) Document duties and duration of assignment.

(2) Document access required for duties and duration of access to information technology systems.

(3) Document physical access required and duration with special emphasis on access required to restricted areas, drug storage facilities and other areas within facilities that require accountability.

(4) Request risk designation, prescreening, and investigation processing services from local personnel vetting office.

(a) Prescreening and Investigation processing will require PII.

(b) For those personnel that are non-US Persons, additional PII information may be required to complete prescreening or investigation processing.

(5) Ensure all Fingerprint Special Agreement Check (FP SAC), prescreening, and investigation processing is completed according to local personnel vetting office direction.

(6) Ensure local personnel vetting offices are notified of any change in status including, but not limited to, termination, separation, retirement, https://www.opm.gov/suitability/suitability-executive-agent/position-designation-tool/ https://www.opm.gov/suitability/suitability-executive-agent/position-designation-tool/ resignation, suspension, transfer of position/contract, transfer of duty location, change in affiliation, etc.

4. REFERENCES.

a. VA Directive 0710, Personnel Security and Suitability Program.

https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=487&FType=2

b. VA Directive 0735, Personal Identity Verification (PIV) of Federal Employees and Contractors. VA Directive 0735, Personal Identity Verification (PIV) of Federal Employees and Contractors.

c. VA Directive 0327, Insider Threat Policy. VA Directive 0327, Insider Threat Policy.

d. Inspector General Act of 1978 igactasof1010.pdf (ignet.gov)

e. VA Handbook 5003/5, Position Classification, Job Grading and Position Management through Change 5.

https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=1268&FType=2

f. 5 CFR Parts 302, 315, 332, 338, 359, 731, 732, 736, 752 and 1400 of http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5tab_02.tpl

g. OPM Position Designation Tool (PDT) PDT - Position Designation Tool (nbis.mil)

h. E-Government Act of 2002 E-Government Act of 2002 | National Archives

i. Privacy Act of 1974 Privacy Act of 1974 (justice.gov)

j. Freedom of Information Act, 5 U.S.C. § 552 FOIA

k. 5 U.S.C. § 1104 [USC02] 5 USC § 1104: Delegation of authority for personnel management (house.gov)

l. 5 U.S.C § 3301 [USC02] 5 USC § 3301: Civil service; generally (house.gov)

m. EO 13488, “Granting Reciprocity on Excepted Service and Federal Contractor Employee Fitness and Reinvestigating Individuals in Positions of Public Trust,” January 17, 2017 https://www.govinfo.gov/content/pkg/WCPD-2009-01- 19/pdf/WCPD-2009-01-19-Pg87.pdf, as amended by EO 13764

n. EO 13467, “Reforming Processes Related to Suitability for Government Employment,” https://www.govinfo.gov/content/pkg/WCPD-2008-07- 07/pdf/WCPD-2008-07-07-Pg932.pdf

o. EO 13764, “Amending the Civil Service Rules,…,to Modernize the Executive Branch-Wide Governance Structure and Processes for Security Clearances, Suitability and Fitness for Employment, and Credentialing, and Related Matters”, https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=487&FType=2 https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=815&FType=2 https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=815&FType=2 https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=783&FType=2 https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=783&FType=2 https://www.ignet.gov/sites/default/files/files/igactasof1010.pdf https://vaww.va.gov/vapubs/viewPublication.asp?Pub_ID=1268&FType=2 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5tab_02.tpl https://pdt.nbis.mil/consent https://www.archives.gov/about/laws/egov-act-section-207.html https://www.justice.gov/opcl/privacy-act-1974 https://www.justice.gov/oip/blog/foia-update-freedom-information-act-5-usc-sect-552-amended-public-law-no-104-231-110-stat https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section1104&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section1104&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=Title+18&f=treesort&num=178 https://www.govinfo.gov/content/pkg/WCPD-2009-01-19/pdf/WCPD-2009-01-19-Pg87.pdf https://www.govinfo.gov/content/pkg/WCPD-2009-01-19/pdf/WCPD-2009-01-19-Pg87.pdf https://www.govinfo.gov/content/pkg/WCPD-2008-07-07/pdf/WCPD-2008-07-07-Pg932.pdf https://www.govinfo.gov/content/pkg/WCPD-2008-07-07/pdf/WCPD-2008-07-07-Pg932.pdf

January 17, 2017, https://www.federalregister.gov/documents/2017/01/23/2017- 01623/amending-the-civil-service-rules-executive-order-13488-and-executive-order-13467-to-modernize-the

p. 5 CFR Part 5.4, Information and Testimony. eCFR :: 5 CFR 5.4 -- Information and testimony.

q. EO 12968, “Access to Classified Information” August 4, 1995, as amended https://www.dni.gov/files/NCSC/documents/Regulations/EO_12968.pdf

r. The Intelligence Reform and Terrorism Prevention Act of 2004.

E:\PUBLAW\PUBL458.108 (dni.gov)

s. Office of Management and Budget Memorandum, “Reciprocal Recognition of Existing Personnel Security Clearances.” https://www.whitehouse.gov/wp-content/uploads/legacy_drupal_files/omb/memoranda/2006/m06-21.pdf

t. Security Executive Agent Directive (SEAD) 4, National Adjudicative Guidelines.

SEAD-4-Adjudicative-Guidelines-U.pdf (dni.gov)

u. SEAD 8, Temporary Eligibility. SEAD-8_Temporary_Eligibility_U.pdf (dni.gov)

v. OPM Memorandum, “Credentialing Standards Procedures for Issuing Personnel Identity Verification Cards under HSPD-12 and New Requirements for Suspension or Revocation of Eligibility for PIV Credentials (Credentialing Procedures)”; December 15, 2020. https://www.opm.gov/suitability/suitability-executive-agent/policy/cred-standards.pdf

w. Federal Personnel Vetting Core Doctrine (FR 2021- 00547) issued in April 2021 by the Director of National Intelligence and the Director, OPM. 2021-00547.pdf (federalregister.gov)

x. Federal Information Processing Standards Publication (FIPS) 201, “Personal identity Verification (PIV) of Federal Employees and Contractors” as amended by FIPS 201-3 or its successors.

https://csrc.nist.gov/publications/detail/fips/201/3/final

y. National Institute of Standards and Technology (NIST) Special Publication 800- 63A, Digital Identity Guidelines, Enrollment and Identity Proofing Requirements.

NIST Special Publication 800-63A

z. Presidential Policy Directive (PPD)-19, “Protecting Whistleblowers with Access to Classified Information,” issued October 2012 by ODNI. PPD-19.pdf (dni.gov) https://www.federalregister.gov/documents/2017/01/23/2017-01623/amending-the-civil-service-rules-executive-order-13488-and-executive-order-13467-to-modernize-the https://www.federalregister.gov/documents/2017/01/23/2017-01623/amending-the-civil-service-rules-executive-order-13488-and-executive-order-13467-to-modernize-the https://www.federalregister.gov/documents/2017/01/23/2017-01623/amending-the-civil-service-rules-executive-order-13488-and-executive-order-13467-to-modernize-the https://www.ecfr.gov/current/title-5/chapter-I/subchapter-A/part-5/section-5.4 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-A/part-5/section-5.4 https://www.dni.gov/files/NCSC/documents/Regulations/EO_12968.pdf https://www.dni.gov/files/NCTC/documents/RelatedContent_documents/Intelligence_Reform_Act.pdf https://www.whitehouse.gov/wp-content/uploads/legacy_drupal_files/omb/memoranda/2006/m06-21.pdf https://www.whitehouse.gov/wp-content/uploads/legacy_drupal_files/omb/memoranda/2006/m06-21.pdf https://www.dni.gov/files/NCSC/documents/Regulations/SEAD-4-Adjudicative-Guidelines-U.pdf https://www.dni.gov/files/NCSC/documents/Regulations/SEAD-8_Temporary_Eligibility_U.pdf https://www.opm.gov/suitability/suitability-executive-agent/policy/cred-standards.pdf https://www.opm.gov/suitability/suitability-executive-agent/policy/cred-standards.pdf https://public-inspection.federalregister.gov/2021-00547.pdf https://public-inspection.federalregister.gov/2021-00547.pdf https://csrc.nist.gov/publications/detail/fips/201/3/final https://pages.nist.gov/800-63-3/sp800-63a.html https://www.dni.gov/files/ICIG/Documents/Policy/Whistleblowing/PPD-19.pdf

5. DEFINITIONS.

a. Adjudication: The evaluation of pertinent data in a background investigation, as well as any other available information that is relevant and reliable, to determine whether a covered individual is suitable for Government employment.

b. Applicant. An individual who is being considered or has been considered for employment in the competitive service or career Senior Executive Service. 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part- 731).

c. Appointee. An individual who has entered on duty and is in the first year of employment in a competitive service or career Senior Executive Service position when it is employment subject to investigation. When the individual is serving a probationary or trial period, the individual’s status as an appointee will extend through the end of the initial probationary/trial period, if longer than one year.

(Source: 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter- I/subchapter-B/part-731).

d. Central Verification System: A data repository for viewing and recording information on existing security clearances, background investigations, suitability, fitness, and HSPD-12 determinations that enables reciprocity among Federal agencies.

e. Competitive Service or Career Senior Executive Service: Refers to a position in the competitive service, a position in the excepted service where the incumbent can be noncompetitively converted to the competitive service, and a career appointment to a position in the Senior Executive Service.

f. Contractor Employee: An individual who performs work for or on behalf of any agency under a contract and who, to perform the work specified under the contract, will require access to space, information, information technology systems, staff, or other assets of the Federal Government, and who could, by the nature of their access or duties, adversely affect the integrity or efficiency of the Government. https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-

g. Continuous Vetting: Refers to the process of reviewing the background of a covered individual at any time to determine whether that individual continues to meet applicable requirements.

h. Core duty: A continuing responsibility of particular importance to the relevant covered position or the achievement of an agency's mission. (Source: 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731).

i. Covered Position: Is a person who performs, or who seeks to perform, work for or on behalf of the executive branch or otherwise interacts with the executive branch such that the individual must undergo vetting.

https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731

j. Days: Calendar days unless otherwise specified in this Handbook. (Source: 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part- 731).

k. Debarment: A prohibition from taking a competitive service examination or being hired (or retained) in a covered position for a specific period. Debarment can be issued by an Agency or by OPM. 5 CFR 731

l. Employee. An individual who has completed the first year of an appointment in the competitive service or career Senior Executive Service when it is employment subject to investigation and is no longer serving the initial probation or trial period, if applicable. In the case of an appointee whose initial probation or trial period is for more than one year, the individual will be considered an employee at the completion of the initial probation or trial period. 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731).

m. Material: In reference to a statement, one that is capable of influencing, affects, or has a natural tendency to affect, an official decision even if OPM or an agency does not rely upon it. (Source: 5 CFR Part 731, https://www.ecfr.gov/current/title- 5/chapter-I/subchapter-B/part-731).

n. Position Designation System and Automated Tool (PDT): OPM requires the use of the automated tool in determining the level of risk and sensitivity of positions in the competitive service, positions in the excepted service where the incumbent can be noncompetitively converted to competitive service and initial career appointments in the SES. Position designation determines the type of investigation required for the subject.

o. Suitability Action: A suitability action is one or more of the following:

(1) Cancellation of eligibility;

(2) Removal;

(3) Cancellation of reinstatement eligibility; and/or

(4) Debarment.

Source: 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter- I/subchapter-B/part-731

p. Suitability Determination: A decision by OPM or an agency with delegated authority that an individual is suitable or is not suitable for employment in the competitive service or career Senior Executive Service in the Federal Government or a specific Federal agency. A suitability determination is based on whether an individual’s character or conduct may have an adverse impact on the integrity or efficiency of the service. (Source: 5 CFR Part 731, https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731).

https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731

q. Trusted Workforce (TW) 2.0 is a major initiative by the Federal Government to reform personnel vetting. These reforms aim to better support agencies’ missions by reducing the time required to bring new hires onboard, enabling mobility of the Federal workforce and improving insight into workforce behaviors.

APPENDIX A. PERSONNEL VETTING PROGRAM REQUIREMENTS

1. Scope. These standards cover general PVP requirements.

2. Personally Identifiable Information (PII).

a. Two primary laws, The Privacy Act of 1974 (U.S.C. § 552a) and the E- Government Act of 2002, as amended, set forth requirements for Federal agencies regarding protecting and securing personal information.

b. These laws regulate the collection, maintenance, use and dissemination of personal information in Government records when that information is retrieved by the subject of record’s name or unique identifier.

c. All VA employees have an obligation to protect information contained in, or extracted from, paper files or automated systems from disclosure.

3. Personnel Security Record Requirements.

a. VA-CABS is the System of Record for background investigation data at the VA.

b. Original signatures are not required; electronic or facsimile copies are acceptable for personnel security release forms, such as the Standard Form (SF) releases, unless required by Executive Order (EO) or OPM guidance.

4. Fingerprints.

a. FP SAC fingerprints are required for:

(1) All initial investigations;

(2) Tier 2 and Tier 4 reinvestigations; and

(3) Tier 3 and Tier 5 reinvestigations if there are no classifiable fingerprints on file.

b. Fingerprints are captured and submitted electronically to DCSA using the US Access system.

5. Freedom of Information Act (FOIA) and/or Privacy Act. An individual may request copies of their personnel security file under the provisions of the Privacy Act and/or FOIA. The appropriate DCSA FOIA or Privacy Act Office will handle such requests.

https://www.archives.gov/about/laws/privacy-act-1974.html https://www.govinfo.gov/content/pkg/PLAW-107publ347/pdf/PLAW-107publ347.pdf https://www.govinfo.gov/content/pkg/PLAW-107publ347/pdf/PLAW-107publ347.pdf https://www.federalregister.gov/documents/2022/07/01/2022-14118/privacy-act-of-1974-system-of-records https://www.dcsa.mil/Personnel-Security/Background-Investigations-for-Security-HR-Professionals/Request-Background-Investigation-Files/

APPENDIX B. FEDERAL VETTING/SUITABILITY, EXCEPTED SERVICE AND

CONTRACTOR EMPLOYEE FITNESS REQUIREMENTS

1. Scope.

a. This appendix defines suitability and fitness requirements for competitive service Federal applicants, appointees, and excepted service positions where the incumbent can be noncompetitively converted to the competitive service and career appointments into a position in the SES, as defined in 5 CFR Part 731.101(b).

b. This appendix also defines fitness requirements for excepted service Federal applicants and appointees in positions that do not noncompetitively convert to competitive service positions, contractor employees requiring unescorted access to VA-owned facilities, and to affiliates and volunteers and other populations that require access to VA-controlled facilities or commercial facilities operating on behalf of VA, access to VA IT systems and the systems’ data; or access to sensitive information.

c. The vetting/suitability process allows for the determination of an individual’s suitability for employment based upon an assessment of their character or conduct that may impact the integrity and efficiency of the Federal service.

d. National Security clearances (e.g., Confidential, Secret, and Top Secret) are granted to individuals with a specific requirement for access to classified material and may require an additional investigation and an adjudicative determination.

e. VA, as a member of the National Industrial Security Program (NISP), must conform to all requirements for contractor access to classified material as stated in the National Industrial Security Program Operating Manual (NISPOM). DCSA administers the NISP on behalf of Federal agencies, and VA must use DCSA to process all contractor background investigation requests when national security access is requested and justified. The NISPOM establishes requirements for protecting classified information disclosed to or developed by contractors, licensees, grantees, or certificate holders (hereinafter referred to as contractors) to prevent unauthorized disclosure.

2. Pre-Screening and Interim Suitability Determinations.

a. Initial suitability screenings (pre-screenings) are a required part of the onboarding and background investigative process and can be done at any time after a tentative job offer is extended, contract is awarded, or affiliation with the VA is documented.

b. Upon issuance of tentative offer, contract award, or documented affiliation, the Servicing Personnel Vetting Office (SPVO) shall conduct a pre-screening determination, which involves:

https://www.ecfr.gov/current/title-5/section-731.101#p-731.101(b) https://www.ecfr.gov/current/title-5/section-731.101#p-731.101(b) https://www.ecfr.gov/current/title-32/subtitle-A/chapter-I/subchapter-D/part-117

(1) Review of the application and/or resume, and

(2) Review of Optional Form (OF) 306, “Declaration for Federal Employment,”

(3) Review of the results of the electronic fingerprint check, National Criminal History Check, (e.g., FP SAC) and

(4) Review of e-Application within the National Background Investigation Services.

3. Suitability and Fitness.

a. Federal applicants and appointees requiring access to VA facilities and VA IT systems or VA information undergo the requisite background investigation commensurate for their positions’ risk and sensitivity level designation. Title 38 and Title 38 hybrid positions are also subject to investigative and adjudicative guidelines as contained in 5 CFR Part 731.

b. Contractor employees requiring access to VA facilities and VA IT systems receive an appropriate fitness screening/investigation based on the risk level of their positions. The VA program manager and/or business owners are responsible for determining the risk level for each contractor employee position and coordinating with the VA contracting officer to ensure solicitations and contracts include appropriate requirements for contractor employees. The VA program manager will work with Personnel Security Specialists for any assistance needed to use the PDT tool to aid in determining the position designation for contractor positions.

c. Personnel Security Specialists must reciprocally accept a prior background investigation in the event of promotion, demotion, reassignment, or transfer from employment subject to investigation to other employment subject to investigation without a break in service, unless the new employment is at a higher risk level.

d. The appointment of an applicant or appointee to a covered position is subject to a suitability or fitness determination unless exempt per 5 CFR 731.104

e. HRA/OSP VA PERSEC is delegated the authority to conduct departmental oversight and compliance program reviews of VA’s PVP.

f. Adjudications are an inherently Governmental function and must be performed by appropriately trained and favorably adjudicated Federal Government personnel.

g. Personnel Security Specialists shall not discriminate, nor make any negative inferences regarding an individual’s fitness or suitability based on race, color, religion, sex, national origin, disability, or sexual orientation.

https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731#731.104

h. No person shall be deemed eligible for a national security position as a matter of right or privilege or because of any title, rank, position, or affiliation.

i. Information about individuals collected as part of the investigative and adjudicative process shall be managed in accordance with applicable laws and VA policies, including those related to privacy and confidentiality, security of information, and access to information. Information pertaining to suitability or fitness adjudications will be maintained in accordance with OPM policy.

j. Based on the December 2020 OPM Credentialing Standards Procedure Memo, VA may have specific categories of personnel, such as guest researchers or volunteers who are unique to the agency. However, the credentialing standards procedures set forth in the December 2020 memo generally apply to such personnel unless they are in a short-term position (i.e., less than 6 continuous months). If in a short-term position, the agency has the discretion to vet such personnel for PIV credentials based on risk and other factors or to issue an alternative identity credential with appropriate restrictions and alternative security protections.

4. Position Designation (Risk &Sensitivity) and Investigative Requirements

a. For every position in the competitive service; in the excepted service; to be filled with a career appointment in the Senior Executive Service; or in which the occupant performs a service as a contractor employee or as a nonappropriated fund employee, an agency head must designate the position at high, moderate, or low risk level as determined by the position’s potential for adverse impact to the efficiency or integrity of the service

b. Any position subject to risk designation under this section must also receive a sensitivity designation of Special-Sensitive, Critical-Sensitive, Noncritical- Sensitive, or Nonsensitive, as appropriate. This designation is complementary to the risk designation and may have an effect on the position's investigative requirement.

c. If an employee occupies a National Security Sensitive position and/or requires access to classified information to perform assigned duties, the following must be completed before the employee moves to a national security sensitive position.

d. The position designation must be designated at the appropriate national security sensitivity level (Noncritical-Sensitive, Critical-Sensitive, Special-Sensitive). The employee’s Position Description (PD) must be updated to reflect the correct designation.

e. The SHRO must immediately update the HR System of Record to reflect the new position designation.

https://www.opm.gov/suitability/suitability-executive-agent/policy/cred-standards.pdf

f. The employee’s supervisor must submit VA Form 10097 (Justification for Access to Classified Information or Security Clearance) providing a statement outlining the need for access to classified information. All VHA requests must be routed through the VHA Personnel Security Program Office. Veterans Benefits Administration and National Cemetery Administration 10097 forms must be submitted to Operations and National Security Services (ONSS) for review and approval.

g. Following approval, the employee must complete an SF-86, Questionnaire for National Security Positions, and meet the necessary investigative criteria. This is accomplished by utilizing eApp portal within NBIS.

h. The required investigation must only be initiated by the PSAC.

i. The PD is required to determine the appropriate level of investigation; therefore, all positions within VA are required to have accurate position designations.

OPM sets forth guidance on position risk/sensitivity levels and the PDT is provided to simplify and automate the process. VA PERSEC has provided the VA Position Matrix as a general guide for position designation.

j. The PDT will also be used by VA program offices, with support and assistance from VA Personnel Security Specialists, to determine the PD and identify investigative levels for contractors based on the Performance Work Statement or Functional Statement. VA program offices are responsible for determining the risk level for each contractor position and coordinating with the VA contracting officer to ensure solicitations and contracts include appropriate personnel vetting requirements for contractors.

k. All positions must be designated based both on its public trust risk and its national security sensitivity so that the appropriate level of investigation is conducted to address both suitability and national security concerns.

l. Position descriptions and functional statements must be given a risk and sensitivity designation. SHROs, with technical assistance and support provided by assigned Personnel Security Specialists, are responsible for the overall position designation.

m. Position descriptions must be re-evaluated when a position becomes vacant to ensure risk and sensitivity levels have not changed due to new and/or modified duties and responsibilities. This review must also include an updated Position Designation Record generated by the PDT.

n. Positions that are intermittent, per diem, or temporary in nature, not to exceed an aggregate of 180 days per year in either a single continuous appointment or series of appointments, do not require a background investigation for suitability or fitness. VA requires a SAC for these individuals to ensure the suitability or fitness of the person.

https://vaww.va.gov/vaforms/va/pdf/VA10097.pdf

o. Intermittent, seasonal, per diem, or temporary positions designated as national security in scope are not exempt from investigation regardless of the length of appointment.

p. VA cannot initiate an investigation if an individual has been in the U.S. for less than 3 continuous years. The OPM Credentialing Standards specify the requirements for vetting Non-U.S. Nationals in support of PIV credential issuance, to include the requirements and processes for employment authorization verification.

(1) VA will utilize a National Counterintelligence and Security Center-sponsored vetting resource for all Non-U.S. Nationals, since a background investigation cannot be completed on a Non-U.S. National who has not lived in the United States for at least 3 continuous years.

(2) PIV credentialing eligibility, which requires a favorable SAC and a minimum of a Tier 1 background investigation, will be determined for all categories of individuals (including HPTs, contractors, and affiliates) based on the above guidance.

5. Investigative Tiers.

a. OPM establishes the level of investigation required for each position risk designation. These standards are used to determine eligibility for logical and physical access, suitability for U.S. Government employment, fitness to perform work for or on behalf of U.S. Government as a contract employee, and eligibility for access to classified information or to hold a sensitive position.

b. The standards consist of five tiers with an Expandable Focused Investigation model at each tier as shown below:

(1) Tier 1 (investigation for positions designated as Low Risk).

(a) This is the minimal level of investigation for a final credentialing determination for logical access.

(b) Tier 1 investigations are requested using the SF-85/SF-85P.

(2) Tier 2 (investigation for non-sensitive positions designated as moderate risk-public trust positions) and are requested using the SF-85/85P.

(3) Tier 3 (investigation for national security positions designated as Noncritical-Sensitive and/or requiring access to Confidential or Secret information) and are requested using the SF-86/86P.

(4) Tier 4 (investigation for High Risk-public trust positions) and are requested using the SF-85/85P.

https://www.opm.gov/suitability/suitability-executive-agent/policy/cred-standards.pdf

(5) Tier 5 (investigation for national security positions - Top Secret, sensitive compartmented information, Critical-Sensitive, and Special-Sensitive) and are requested using the SF-86/86P.

c. Public Trust positions are designated as:

(1) Moderate Risk-Tier 2.

(2) High Risk-Tier 4.

d. Personnel Security Specialists must ensure the appropriate level and type of background investigation is requested and adjudicated to determine suitability or fitness for Federal employment of applicant and appointee positions. This action will be accomplished by reviewing the position designation risk level and background investigation information in USA Staffing and VA CABS to include cross referencing on the background investigation case closing transmittal (CCT) summary with all other systems.

e. An investigation should be initiated before the individual is appointed or otherwise becomes employed by or affiliated with VA, or on behalf of VA, however when an investigation is not initiated timely, one must be initiated as soon as possible, even if the appointment or affiliation has already occurred.

f. A change in position risk/sensitivity level requires a background investigation at the new required Tier level. Follow guidance from DCSA regarding OF-306 submission with the background investigation.

g. The individual may remain in the position pending the completion of the new/higher background investigation.

h. Suitability and fitness requirements for employment are separate and distinct from job qualifications (e.g., education or experience requirements). A favorable suitability or fitness determination does not mean that the individual is automatically eligible for a job, and a person who is qualified for a job is not automatically suitable or fit for employment. General suitability or fitness determinations are made after finding the person qualified for the position.

Moreover, a final Suitability determination can only be made with a completed, valid background investigation.

i. Record of Arrest and Prosecution Background Investigation (RAP Back) alerts will be reviewed and adjudicated by VA Personnel Security Specialists. and if necessary, referred to the local Employee Labor Relations representative for possible adverse action. For applicants/appointees, RAP BACK alerts will be reviewed by an OPM trained and certified Personnel Security Specialist for possible suitability action. For employees, the alert should be referred to the local Employee Labor Relations staff for possible adverse action.

6. Contractor Fitness Determinations.

a. All contract personnel assigned to work for or on behalf of VA must undergo a background investigation commensurate with the risk and sensitivity level designation associated with the work to be performed at the level indicated in the contract through the PDT. Contractor investigative requirements are based on the length of the contract period of performance, not the number of days the contractor works for VA.

b. The PSAC or Administrations can initiate contractor background investigations, except for national security investigations, as well as adjudicate contractor FP SACs. However, all final adjudicative decisions for contractors must be made by the PSAC. All required investigative documentation must be uploaded and maintained in VA-CABS.

c. Contractor fitness determinations will be performed in the same manner as employee determinations using the suitability criteria of 5 CFR Part 731. VA reserves the right to restrict access to VA facilities, sensitive information, or resources for any contractor, on a need-to-know bases, regardless of the security clearance level.

d. The PSAC will inform contractors who have unfavorable or derogatory information discovered or detected during a personnel investigation and offer the contractor an opportunity to refute, explain, clarify, or mitigate the information in question. The contractor should also be advised that the VA will not disclose any details of the adverse information to the contractor’s employer.

e. If the PSAC makes a final adjudication of unfit on an individual working on a contract, the PSAC will notify the Program Office (or the individual designated by the Program Office) that submitted the request for adjudication of the background investigation for the contractor. The Program Office (or the individual designated by the Program Office), if authorized to communicate with the contractor’s employer under this circumstance, must communicate to the employer (contract company) that:

(1) The contractor is being denied staff-like access for reasonable cause;

(2) Such a finding makes the contractor employee ineligible to render services (or otherwise perform) under the contract; and

(3) The decision by the Government does not intend to imply that the contract employee’s fitness for employment elsewhere in the company is in any way affected by the VA determination on access to VA facilities or information.

7. Suitability/Fitness Reciprocity

a. Investigations and adjudications conducted by other Federal agencies should be reciprocally accepted under Executive Order 13488 whenever possible to reduce the number of investigation requests, associated costs and unnecessary delays.

b. As with any background investigation request, a check of the Central Verification System (CVS) / Personnel Investigation Processing System must be done to review if a previous investigation has been completed and favorably adjudicated.

If the investigation has not been favorably adjudicated within the previous 24 months, the case may be ordered by the Personnel Security Specialist for review and adjudication. If the investigation was not adjudicated and closed more than 24 months ago, a new investigation may be requested.

c. The PSAC must process and approve VA Police Officer and contractor reciprocity.

d. When an individual with a prior, favorably adjudicated investigation moves to a new position either by transfer from another Federal Department or agency or by promotion, demotion or reassignment, a new investigation is not required if the conditions below are met.

(1) The existing investigation is current;

(2) The existing investigation is equal or higher than the investigation required for the new position;

(3) The existing investigation revealed no issues incompatible with the core duties of the new position; and

(4) There was no break in service of 60 months.

e. If an investigation is unavailable, a new appropriate investigation must be initiated.

8. Suitability and Fitness Adjudicative Criteria.

a. Personnel Security Specialists must base suitability and fitness determinations on the presence or absence of one or more of the specific factors listed in 5 CFR 731.202(b).

b. Evaluating whether an individual is suitable or fit to work for the Federal Government (either directly or indirectly as a contractor employee or affiliate) occurs after a background investigation has been completed. Portions of that investigation are conducted by gathering information directly from the individual via personnel vetting forms and, in some cases, personal interviews. Additional information is gathered from other sources.

c. Once the background investigation is complete, the Personnel Security Specialist evaluates the information obtained against the factors. Only conduct falling within a factor may be the basis for finding one unsuitable or unfit. The

Personnel Security Specialist, through application of pertinent additional consideration, will determine whether the individual’s character or conduct may have an adverse impact on the integrity or efficiency of the service.

d. Personnel Security Specialists will consider the person holistically, evaluating any impact to the integrity and efficiency of the service on a case-by-case basis.

e. Suitability and fitness determinations are based upon evidence of an individual’s character or conduct and when that evidence supports a conclusion that the character or conduct will have an adverse impact on the integrity and efficiency of the service, VA must not make a favorable suitability or fitness determination.

f. Administrations may implement procedures for making Pre-Screening and Preliminary Determinations. The pre-screening determination does not replace the required adjudicative determination for the required background investigation level and does not represent a final suitability determination. Special Sensitive positions do not qualify for pre-screening determinations.

g. Contractor and affiliate fitness requirements are aligned with suitability requirements found in 5 CFR 731.202(b).

h. In making a suitability or fitness determination, the Personnel Security Specialist needs to consider the additional considerations in accordance with 5 CFR Part 731.202.

9. Supplemental Information.

a. If issues emerge during the vetting/fitness process, the scope of the inquiry is expanded as necessary to obtain additional information to assist in the determination of suitability/fitness. If further information from the individual is needed, correspondence may be sent that affords the Federal applicant/appointee or contractor employee the ability to refute, explain, clarify, or mitigate the developed information.

b. The Request for Information (RFI) will include an acknowledged receipt section and requirement for the subject to respond within 10 calendar days of the signature date of the letter. The RFI shall include language that explains the aggravating information, and that should a response not be received, an adjudicative decision will be made with the relevant information available.

Extensions may be granted on a case-by-case basis with supervisory approval.

However, the 10-day RFI response time will be consistent across the VA.

10. Suitability or Fitness Notifications.

a. When a suitability and/or fitness determination is made (favorable or unfavorable) for competitive, excepted, and Senior Executive service Federal applicants or appointees, the Personnel Security Specialist will notify the subject and respective HR Official/Manager, as appropriate.

https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731#731.202 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731/subpart-B/section-731.202 https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731/subpart-B/section-731.202

b. When a fitness determination is made (fit or unfit), for contractor employees, the VA/Program Office and/or the Contracting Officer (CO) are informed by the PSAC.