Department of the Interior

Departmental Manual

 

Effective Date:  7/27/04

Series:  Law Enforcement and Security

Part 441:  Personnel Security and Suitability Requirements

Chapter 2:  Responsibilities

 

Originating Office:  Office of Law Enforcement and Security

441 DM 2           

 

2.1     General.  This chapter prescribes responsibilities for implementing the Departmental personnel security and suitability program. 

 

2.2     Offices of the Assistant Secretary - Policy, Management and Budget.

 

          A.      The Assistant Secretary - Policy, Management and Budget (PMB), is responsible for approving policy and procedures for the Departmental personnel security and suitability program through the Office of Law Enforcement and Security.

 

          B.      The Director, Office of Law Enforcement and Security (OLES), is responsible for development, direction, coordination, compliance, and interpretation of Departmental personnel security and suitability policy.  The OLES is responsible for the overall program management, including oversight and continuing security education and awareness, to ensure effective implementation by all Departmental activities.  The OLES is also responsible for the processing of requests for and maintenance of Special Accesses for all Departmental employees, with the exception of United States Geological Survey (USGS) employees.  The USGS processes requests for and maintains Special Accesses for its employees.

 

          C.      The Director, Office of Human Resources (PPM), is responsible for ensuring that all Departmental Personnel Offices implement personnel security and suitability policies and procedures and for providing overall policy guidance in the area of public trust designation.  PPM will be responsible for disseminating any and all policy in this area.

 

          D.      The Chief Information Officer (CIO), is responsible for establishing policy and procedures for the protection of national security classified and sensitive information processed in automated systems, including all forms of hard, soft, and transmission media.

 

          E.       The Director, National Business Center (NBC), is responsible for granting security clearances for all elements of the Office of the Secretary and the security officers and alternates of the bureaus and offices.  The NBC also maintains security/suitability records and an ongoing security education and training program for the above individuals.

 

2.3     Bureaus and Offices.

 

          A.      Heads of Bureaus and Offices.  The head of each bureau or office is responsible for implementing and administering a personnel security and suitability program that complies with the requirements in this chapter and carries out the goals and objectives of the program.  Each bureau or office head is responsible for ensuring that all programs and positions under his/her authority are properly designated in terms of program placement and position sensitivity/risk levels.  It is the ultimate responsibility of the bureau/office head to ensure that the Personnel Security Program is successful.  This includes, but is not limited, to the following:

 

                   (1)     Overseeing and ensuring the success of the Personnel Security Program.

 

                   (2)     Designating in writing a full-time or, when practicable and necessary, an exceptionally well-trained collateral-duty security officer, an alternate, and an appropriately designated field representative to assist the security officer in the discharge of responsibilities.

 

                   (3)     Designating a Special Security Officer (SSO) that is accredited and authorized to receive, process, and store Sensitive Compartmented Information (SCI).

 

                   (4)     Ensuring that OLES has provided approval for candidates selected for bureau and office security officer positions and their alternates prior to appointing such candidates.

 

                   (5)     Ensuring that personnel designated as security officer and alternate are fully knowledgeable and conversant in both Departmental and Federal personnel security directives, and that they possess extensive practical experience in progressively responsible security positions.  Knowledge and experience in the security field should include, but are not limited to: security and suitability adjudication; personnel investigations; national security clearances; program placement and position sensitivity designations; control, handling, and safeguarding of classified information; physical security; legislation, regulations, and policies pertaining to security in general (e.g., Executive orders, National Security Directives, and Code of Federal Regulations); and current developments and initiatives in the overall security arena.

 

                   (6)     Ensuring that programs are properly designated to reflect the impact on the mission of the bureau or office.  Bureau/office heads are to submit program designation placement determinations to the Office of the Deputy Secretary for concurrence.  (See 441 DM 3, Attachment 4).

 

                   (7)     Ensuring that appropriate training is provided to each bureau or office employee responsible for program placement and position sensitivity and/or risk level designations, and/or responsible for adjudicating background investigations for security and suitability determinations.

 

                   (8)     Overseeing the adjudication process where there are disagreements between the personnel security officer and the program manager/supervisor.

 

                   (9)     If applicable, designating in writing a Top Secret Control Officer (TSCO) and an alternate.  (Most bureaus and offices will not require a TSCO. Top Secret material received for bureaus and offices that do not have a TSCO shall be controlled by the Department's designated TSCO.)

 

                   (10)   Designating in writing an Installation Information Technology (IT) Security Manager and an alternate if classified national security information is processed on automated information systems.

 

          B.      Security Officers.  The bureau/office security officer, as the senior security official, is the principal liaison with OLES and the principal advisor within the bureau/office for security related matters.  Security officer responsibilities include, but are not limited to, the following national security responsibilities (i.e., these responsibilities do not apply to Non-Sensitive/Low Risk positions or to public trust positions, except as specifically noted):

 

                   (1)     Ensuring that personnel security and information security programs are in conformance with all applicable directives and that clearances are in place when necessary.  Additionally, the bureau/office security officer shall grant and account for all security clearances within the bureau or office.  Each bureau/office security officer will fully cooperate and coordinate with the Special Security Officer (SSO).

 

                   (2)     Providing oversight and review authority for personnel security and suitability adjudication for national security and public trust positions.

 

                   (3)     Ensuring that initial investigations and periodic reinvestigations are conducted commensurate with the position sensitivity or risk level.

 

                   (4)     Ensuring review and adjudication of investigations; and that those individuals authorized to review and adjudicate investigative files on a continuing basis have undergone a favorably evaluated background investigation commensurate with the scope and coverage of the investigative information being reviewed.

 

                   (5)     Issuing certifications for sensitive positions, and granting national security clearances within the organization.

 

                   (6)     Ensuring that individuals granted security clearances are briefed prior to being authorized access to classified information and that they are debriefed, as required.

 

                   (7)     Ensuring that positions occupied by individuals granted security clearances are periodically reviewed to determine a continuing requirement for the clearance, and administratively withdrawing or downgrading security clearances that are no longer required.

 

                   (8)     Submitting reports to OLES as required.

 

                   (9)     Ensuring maintenance of the appropriate security/suitability file documentation for each individual in a sensitive or public trust position.

 

                   (10)   Conducting periodic security compliance appraisals at primary region/field locations.

 

                   (11)   Obtaining and certifying personnel investigation and national security clearance information with DOI bureaus and other Federal agencies as required.

 

          C.      Special Security Officer (SSO).  The SSO is responsible for the operation of the Sensitive Compartmented Information Facility (SCIF) and the security control and use of the SCIF.  All Sensitive Compartmented Information (SCI) matters are to be referred to the SSO.  The bureau/office security officer shall grant and account for all security clearances within the bureau or office.  Each bureau/office security officer will fully cooperate and coordinate with the SSO.

 

          D.      Top Secret Control Officer (TSCO).  The TSCO is responsible for the receipt, custody, accounting, and disposition of Top Secret Material.  This includes:

 

                   (1)     Maintaining a system of accountability that will record the source, downgrading, movement from one office to another, current custodian, and destruction or other disposition of all Top Secret material for which the TSCO is responsible.

 

                   (2)     Ensuring that dissemination of Top Secret material is kept to the absolute minimum necessary for proper planning or action.  Standard routing of Top Secret material is prohibited.

 

                   (3)     Ensuring that Top Secret material transmitted within the agency is delivered by direct personal contact.

 

                   (4)     Ensuring that a continuous person-to-person chain of signed receipts and disclosure records are maintained for all Top Secret material.

 

                   (5)     Ensuring that physical inventories of Top Secret material are conducted at least once annually.

 

          E.       Personnel Officers.  Responsibilities of personnel officers include, but are not limited to, the following:

 

                   (1)     Designating position risk levels for all positions.  Providing oversight and review authority for program placement and position designations for all positions (See 441 DM 1, 441 DM 3).  Coordinating with program managers/supervisors, for the determination of program placement, and position designations.

 

                   (2)     Coordinating with program managers/supervisors, and various Departmental security officers to implement plans to ensure that all program placements and public trust positions are properly designated and recorded on the appropriate designation form.

 

                   (3)     Ensuring that position sensitivity and risk designation information is entered into the automated Federal Personnel Payroll System (FPPS) or its equivalent; included on all vacancy announcements; and recorded on all personnel action requests and notifications, position descriptions, and Optional Form 8.

 

                   (4)     Ensuring that security officers are immediately notified of all relevant personnel actions, which include, but are not limited to:  changes in levels of program placement or position designations that require additional investigation; and reassignments, details, transfers, or terminations for all employees in sensitive positions.

 

                   (5)     Developing and implementing plans to ensure that suitability adjudications for all Non-Sensitive/Low Risk positions are processed in accordance with appropriate regulations; and ensuring that individuals authorized to review and adjudicate investigative files on a continuing basis have been subject to a favorable evaluation based on a background investigation that is commensurate in scope and coverage with the investigative information being reviewed.

 

                    (6)     Ensuring that the appropriate background investigation is conducted based on the risk level.

 

                   (7)     Ensuring that no appointment is made to Special-Sensitive positions prior to completion of the preappointment investigation; and that no appointments are made to Critical- Sensitive positions prior to completion of the preappointment investigation unless an emergency appointment waiver is approved.

 

                   (8)     Maintaining appropriate personnel security/suitability file documentation.

 

                   (9)     Obtaining proper training covering program placement, position sensitivity and public trust designations, suitability adjudication for Non-Sensitive/Low Risk positions and adverse actions, and other personnel suitability-related matters.

 

                   (10)   Ensuring that training is provided to those responsible for reviewing, adjudicating, and processing personnel suitability investigations for Non-Sensitive/Low Risk positions.

 

                   (11)   Coordinating with PPM to implement public trust designation policy.

 

                   (12)   Collecting and maintaining all position designation forms and paperwork. Forwarding these forms to OPM and forwarding all adjudication forms to the security officer if received in error.

 

          F.       Program Manager/Supervisor.  The position sensitivity designations should be made in coordination with servicing the personnel officers and security officers in order to ensure uniformity and consistency.

 

                   (1)     The program manager or supervisor is accountable for assigning position designation, as neither personnel security nor the personnel office has the intimate knowledge of position duties necessary to make final program and risk level determinations.

 

                   (2)     The program manager or supervisor, when designating positions, should seek advice or assistance from the personnel officer for public trust positions or the personnel security officer for national security positions.

 

                   (3)     The program manager or supervisor is responsible for position placement.

 

          G.      Employees.

 

                   (1)     The responsibilities of employees who are granted eligibility for access to classified information include, but are not limited to:

 

                             (a)      Protecting classified information in his/her custody from unauthorized disclosure.

 

                             (b)     Reporting to the bureau/office security officer all contacts with persons, including foreign nationals, who seek in any way to obtain unauthorized access to classified information.

 

                             (c)      Reporting all violations of security regulations to the bureau/office security officer.

 

                             (d)     Complying with all other Departmental and bureau security requirements and regulations.

 

                   (2)     Employees are encouraged and expected to promptly report to the bureau/office security officer any information that raises doubts as to whether another employee's continued eligibility for access to classified information is clearly consistent with the national security.

 

                   (3)     Employees who occupy a public trust or national security position are responsible for promptly completing and submitting the required investigative and personnel forms to their servicing personnel officers, or security officers or designees, as applicable.

 

          H.      Adjudicators.  Persons responsible for adjudicating personnel background investigations must be thoroughly familiar with the laws, regulations, and criteria pertaining to security and/or suitability determinations.  The adjudicator must consider all the information of record that is favorable and unfavorable, and assess it in terms of the person=s loyalty, reliability, and trustworthiness.  Adjudicators do not determine whether a position has been properly designated, but rather, they determine only whether the results of an investigation are favorable.

 

7/27/04 #3630

Replaces 10/3/00 #3324