Department of the Interior
Departmental Manual
Effective Date: 10/3/00
Series: Law Enforcement and Security
Part 441: Personnel Security and Suitability Requirements
Chapter 1: General Information
Originating Office: Office of Managing Risk and Public Safety
441 DM 1
1.1 Purpose. This Part establishes the policies, regulations, and procedural guidelines for the operation of the personnel security and suitability program of the Department. This Part is the controlling instruction for implementation and maintenance of the Department’s personnel security program. Personnel security provisions incorporated in other Departmental directives must comply with this regulation.
1.2 Scope. The provisions of this Part are applicable to all Department employees and positions, regardless of type of appointment or position or tenure, and all contractors and consultants. Nothing in this Part is intended to eliminate or modify any personnel security or suitability requirements established by law or Executive Order (E.O.).
1.3 Authorities.
A. E.O. 10450, Security Requirements For Government Employment; E.O. 12829, National Industrial Security Program; E.O. 12968, Access to Classified Information; and E.O. 12958, Classified National Security Information.
B. Code of Federal Regulations 5, Parts 731, Suitability; 732, National Security Positions; and 736, Personnel Investigations.
C. Security Policy Board (SPB) Issuance 1-97, Investigative Standards; SPB Issuance 2-97, Adjudicative Guidelines.
1.4 National Authorities for Security Matters.
A. The President of the United States, as the Chief Executive, the Commander in Chief of the United States Armed Forces, and the primary official responsible for the conduct of foreign affairs under Article II, Section 2, of the Constitution, has the responsibility for the security of the Nation with the concomitant authority to classify information for the protection of the national security as detailed in E.O. 12958 and to establish standards for individuals receiving access thereto as detailed in E.O. 12968.
B. The National Security Council provides overall policy guidance on information and personnel security matters.
C. The Director of the Information Security Oversight Office (ISOO) has the responsibility for implementing and monitoring the Classified Information Program established by E.O. 12958.
D. The Attorney General of the United States upon request from the head of an agency or the Director, ISOO, interprets E.O. provisions regarding questions arising from implementation.
E. The Office of Personnel Management (OPM) is responsible for oversight and implementation of E.O. 10450, which prescribes security requirements (including investigations) for Federal government employment.
F. The Director of Central Intelligence (DCI), as the chairman of the National Foreign Intelligence Board, issues instructions in the form of Director of Central Intelligence Directives (DCIDs) or Director of Central Intelligence Policy statements affecting intelligence policies and activities. The DCI is charged by statute (50 U.S.C. 403) with protecting intelligence sources and methods.
G. The Federal Bureau of Investigation (FBI) is the chief internal security agency of the Federal government with jurisdiction over investigative matters which include espionage, sabotage, treason, and other subversive activities.
1.5 Objectives. This Part prescribes national security and personnel suitability methods and responsibilities for necessary administration of the personnel security and suitability program and orderly processing of actions to ensure the Department conforms to Federal regulations governing suitability for Federal employment and national security interests. The standards applied in determining eligibility for access to classified information and/or assignment of sensitive duties is that, based on all available information, the person’s loyalty, reliability, and trustworthiness are such that entrusting the person with classified or sensitive information is clearly consistent with the interests of national security and the efficiency of the Federal service.
1.6 Definitions. As used in this Part, the following terms and meanings are applicable:
A. Access. The ability or opportunity to gain knowledge of classified/sensitive information. An individual may have access to classified/sensitive information by being in a place where such information is kept if the security measures that are in force do not prevent him or her from gaining knowledge or possession of the information.
B. Adjudication. A process that requires an examination of a sufficient amount of information regarding an individual to determine whether the individual is an acceptable security/suitability risk.
C. Background Investigation. A personnel investigation conducted to meet the requirements of E.O. 10450 and E.O. 12968.
D. Break in Service. When continuous United States government service is disrupted for a period of time greater that 24 months.
E. Classified Contract. Any contract that requires or will require access to classified information by a contractor or its employees in the performance of the contract.
F. Classified Information. Information that requires protection against unauthorized disclosure in the interests of national security and that is classified for such purposes by an appropriate classifying authority in accordance with the provisions of E.O. 12958, or any successor order, or E.O. 12951, or any successor order, or the Atomic Energy Act of 1954.
G. Classified Material. Any matter, document, product or substance on or in which classified information is recorded or embodied.
H. Communications Security (COMSEC). The protective measures taken to deny unauthorized persons information derived from telecommunications of the United States government related to national security and to ensure the authenticity of such communications.
I. Compromise. A security violation that has resulted in confirmed or suspected exposure of classified/sensitive information or material to an unauthorized person.
J. Consultant/Contractor. An individual performing a service under an agreement or contract to the Department.
K. Counterintelligence. The aspect of intelligence activity that is devoted to discovering, neutralizing, or destroying the effectiveness of inimical foreign intelligence activities and to the protection of United States government information against espionage, individuals against subversion, and installations or material against sabotage.
L. Derogatory Information. Information that indicates employment or continuing employment of an individual may not reasonably be expected to promote the efficiency of the Federal service or expected to be clearly consistent with the interests of national security.
M. National Industrial Security Program (NISP). National program to safeguard federal government classified information that is released to contractors, licensees, and grantees of the United States government. The NISP is a single, integrated, cohesive industrial security program to protect classified information and preserve the U.S. economic and technologic interests.
N. National Security. The national defense or foreign relations of the United States.
O. National Security Clearance. An administrative determination based upon the results of an investigation that an individual is trustworthy and may be granted access to classified national security information to the degree required in the performance of assigned duties.
P. National Security Position. Designation of a position at a national security sensitivity level based on the degree of damage that an individual, by virtue of the occupancy of the position, could do to national security. Designations are assigned to ensure appropriate screening under E.O. 10450 and E.O. 12968. The sensitivity levels are Special-Sensitive, Critical-Sensitive, and Noncritical-Sensitive.
Q. Need-to-Know. A determination made by an authorized holder of classified/sensitive information that a prospective recipient, in the interest of national security, requires access to a particular level of classified/sensitive information in order to perform or assist in the performance of a lawful and authorized government function.
R. Public Trust Position. Designation of a position at a level of risk based on the degree of damage that an individual, by virtue of the occupancy of the position, could do to the Federal service. (The public trust positions that are governed by this Part are High and Moderate Risk designations only. Operational procedures for positions designated Non-Sensitive/Low Risk are the responsibility of the servicing personnel officers.)
S. Security Policy Board (SPB). The SPB was established by Presidential Decision Directive 29 to consider, coordinate, and recommend policy directives for United States security policies, procedures, and practices.
T. Security Violation. Any failure to comply with the regulations relative to the protection and security of classified information.
U. Sensitive Compartmented Information (SCI). Classified information concerning or derived from intelligence sources, methods, or analytical processes requiring handling exclusively within formal access control systems established by the Director of Central Intelligence.
V. Sensitive Information. Any information, the loss, misuse, or unauthorized access to or modification of which could adversely affect the national interest or the conduct of Federal programs, or the privacy to which individuals are entitled under section 552a of title 5, United States Code (the Privacy Act), but which has not been specifically authorized under criteria established by an Executive order or an Act of Congress to be kept secret in the interest of national defense or foreign policy.
W. Special Access Program. A program established for a specific class of classified information that imposes safeguarding and access requirements that exceed those normally required for information at the same classification level. Unless otherwise authorized by the President, only the Secretaries of State, Defense and Energy, and the Director of Central Intelligence, or the principal deputy of each, may create a special access program.
10/3/00 #3323
Replaces 7/17/89 #2864