Department of the Interior
Departmental Manual
Effective Date: 7/27/04
Series: Law Enforcement and Security
Part 441: Personnel Security and Suitability Requirements
Chapter 3: Position Sensitivity and Risk Level Designation
Originating Office: Office of Law Enforcement and
Security
441 DM 3
3.1 Purpose. This chapter provides Departmental policy for determining position sensitivity and risk levels.
3.2 General Requirements. All positions must be designated at either a public trust risk level or national security sensitivity level commensurate with the responsibilities and assignments of the position as they relate to the efficiency of the Federal service. Certain government activities by their nature can be adversely affected by the action or inaction of employees associated with the activity in any responsible capacity. Responsibilities in the areas of public safety and health, collection of revenue, finance, and the authority to commit government funds through grants, loans, loan guarantees, or contracts are examples of such activities. Some Departmental positions may include both national security and public trust (including regular contact with or control over children) duties and responsibilities.
3.3 Suitability Investigations Under the Risk/Sensitivity Designation System. A Risk/Sensitivity Designation System, which is a multi-step process used for determining the appropriate suitability investigation for Departmental positions, is used to determine risk level (for public trust duties) or position sensitivity (for national security duties) and to assure uniformity and consistency (See Attachment 4). National security duties receive a sensitivity level designation whereas public trust duties receive a risk level designation. A suitability investigation consistent with the position designation is required for all competitive service positions. A suitability investigation is recommended for excepted service positions designated as moderate or high risk in addition to any excepted service position whose occupants are expected to remain on the Departmental rolls for more than 180 days. Management should consider suitability investigations for Special Governmental Employees (SGEs), including consultants, regardless of whether their appointments are under 180 days, where those employees have duties that match the criteria described as high risk (See Attachment 4A). In summary:
A. National Security Duties. Any position that has national security related duties must be designated at a national security sensitivity level to assure an appropriate investigation is conducted pursuant to E.O. 10450 and E.O. 12968. (See Attachment 1)
B. Public Trust Duties. The risk/sensitivity designation system for positions with public trust duties involves several steps that are designed to evaluate the relative degree of influence an individual may have on the efficiency of Federal service. (See Attachments 2 and 4)
(1) Public Trust Duties Involving Children. Pursuant to the Indian Child Protection and Family Violence Prevention Act (P.L. 101-630, 25 U.S.C. 3201 et. seq), the Bureau of Indian Affairs is required to perform a background investigation for each employee who has regular contact with or control over Indian children. (See Attachment 3)
C. Appropriate Type of Investigation. Once the duties of a Departmental position are evaluated and a risk/sensitivity determination is made, the hiring bureau/office must identify the appropriate type of investigation to conduct. (See Attachments 5 and 6). The purpose of the investigation is to identify any aspects of an individual’s background that may be inconsistent with permitting the individual to undertake public trust or national security duties and responsibilities.
3.4 Redesignations. Positions designated under the July 17, 1989, 441 DM shall not require redesignation until the positions are vacated and refilled, or reclassified. Those positions previously designated as sensitive that do not have national security related duties are now designated as “public trust” positions. For example: Critical-Sensitive would convert to High Risk (HR); Noncritical-Sensitive would convert to Moderate Risk (MR); Non-Sensitive would convert to Low Risk (LR).
A. Where the sensitivity or risk level of the position has changed or increased (See 3.5A), the incumbent may remain in the position, but the investigation required by the new designation must be initiated within 14 working days after redesignation is final.
B. Positions shall not be designated at a lower level and later redesignated at a higher level in order to circumvent investigative requirements. In the event that an individual occupies a position without the appropriate investigation, a bureau shall immediately initiate the appropriate investigation upon discovery.
3.5 Reinvestigations. A Periodic Reinvestigation (PRI) must be conducted after 5 years of service for: (1) public trust positions designated as High Risk; and, (2) all public trust positions that have regular contact with or control over children. Otherwise, an agency may choose to perform, but is not required to perform, a periodic reinvestigation for Moderate Risk positions after 5 years of service. Non-Sensitive/Low Risk positions do not require a reinvestigation.
A. Except when required because of risk level increases, a person in the competitive service who has undergone a suitability investigation need not undergo another one if the only reason for doing so is because the person has been: (1) promoted; (2) demoted; (3) reassigned; (4) converted from career-conditional to career tenure; (5) appointed or converted to an appointment if the person has been serving continuously with the agency for at least 1 year in one or more positions under an appointment subject to investigation; and (6) transferred, provided the individual has served continuously for at least 1 year in a position subject to an investigation.
B. In the event that a risk level has increased, the individual occupying that position may remain in that position pending a timely and appropriate suitability investigation. If for any reason an appropriate suitability investigation has not been performed in accordance with this Chapter for the individual, upon discovery, the bureau must immediately initiate the appropriate investigation for that individual. For example, if a position is designated as high risk (which requires a Background Investigation), but the person occupying that position has only received a National Agency Check and Inquiries (NACI) (the investigation used for low-risk public trust duties), the bureau must reinvestigate that individual under the appropriate designation.
3.6 Screening Investigation Reciprocity. Investigations shall not be duplicated when a valid investigation from another venue meets the scope and standards for the sensitivity or risk level of the position. Therefore, a hiring bureau/office shall accept the screening investigation conducted by another Federal agency, or a Department bureau or office, as long as the screening investigation was for a position at the same risk level as or at a higher risk level than the position to be filled. This applies to transfers within the Department of the Interior, hires between Federal executive agencies, and contractor/consultant positions, as discussed below.
3.7 Documenting and Updating Position Designations.
A. When the designation process described in this chapter has been completed, the Position Designation Record, DI 1959, (See Attachment 6) shall be completed by the personnel officer for each position in order to ensure uniformity and consistency. A copy of the position description being evaluated shall be attached for the record. To the extent that a bureau or office has automated its system, that bureau/office must maintain an equivalent documentation as described below.
B. The completed Position Designation Record shall be maintained with the original position description and Optional Form (OF) 8 in the personnel office.
C. Position sensitivity and public trust designations shall be reflected on the Standard Form (SF) 52 and SF 50 (or facsimile of information contained in automated systems for SF 52s and SF 50s).
D. The Position Designation Record, OF 8s, and the Federal Personnel Payroll System (FPPS) information shall be completed or updated when:
(1) A new position is established;
(2) Changes to the duties of a position require the position risk/sensitivity to be raised or lowered;
(3) Changes to the duties of a position require the position to be identified to denote ADP involvement;
(4) Changes to the duties of the position require regular contact with or control over children; or
(5) The program mission changes as a result of reorganization that in turn affects the level of position sensitivity or public trust.
3.8 Position Sensitivity/Risk Level Code Designations within FPPS. If a bureau or office no longer uses FPPS, equivalent Position Sensitivity/Risk Level Codes to the codes listed below must be established and retained.
A. Non-Sensitive/Low Risk
B. Non-Critical Sensitive
C. Critical-Sensitive
D. Special-Sensitive
E. Moderate Risk
F. High Risk
The Office of Personnel Management provides credit inquiries that date back 7 years. However, for the purposes of evaluating public trust duties, Personnel Officers shall only consider the candidate's current financial status and the status during the past 3 years.
3.9 Investigative Requirements. The following screening investigations are required for individuals occupying positions with the following risk/sensitivity levels:
A. Non-Sensitive/Low Risk - National Agency Check with Inquiries with a Credit
Check (NACIC)
B. Non-Critical Sensitive* - Federal employees: Access National Agency Check with Inquiries (ANACI); Contractors: National Agency Check with Law and Credit (NACLC)
C. Critical Sensitive:
(1) Critical Sensitive with access to Secret Information - Background Investigation (BI)
(2) Critical Sensitive with access to Top Secret Information - Single Scope Background Investigation (SSBI)
D. Special Sensitive - Single Scope Background Investigation (SSBI)
E. Moderate Risk - Minimum Background Investigation (MBI)
F. High Risk - Background Investigation (BI)
* This is the only category in which Federal employees and contractors are required to have a different investigation.
3.10 Adjudication. The Security Officer is responsible for the adjudication of both national security and public trust positions. (See 441 DM 2.3B(4)). The Office of Personnel Management (OPM) will complete the investigation and notify the requesting security office of the results. In the event derogatory information is returned, management will make employment decisions as appropriate. Where there are disagreements between program managers/supervisors and personnel officers and personnel security officers regarding adjudication, the situation may be elevated to the Bureau or Office head. Upon adjudication, the Security Officer will contact the Personnel Officer with the results.
3.11 Contractors. Contractors are not Federal employees and cannot hold national security positions or public trust positions. Nevertheless, contractors may be required to undergo background investigations. To that extent, further guidance will be forthcoming.
CONTRACTOR/CONSULTANT POSITIONS (TO BE INCLUDED AT A LATER TIME)
ATTACHMENT 1
441 DM 3 - NATIONAL SECURITY DUTIES
A. National Security Duties. All positions that have national security related duties must be designated at sensitivity levels to assure an appropriate screening investigation is conducted pursuant to E.O. 10450 and E.O. 12968. In accordance with 446 DM, Law Enforcement, all positions with law enforcement authority shall be designated, at a minimum, Critical-Sensitive, and the incumbents must maintain eligibility for a Secret security clearance. The position description for those positions that have national security related duties must include those duties. There are three sensitivity levels at which a position can be designated and a fourth designation for positions without national security duties or exposure.
The following table delineates national security sensitivity levels and associated criteria:
B. National Security Positions with Public Trust Duties. In some instances, the position may have both national security and public trust duties. In those instances, the final position designation shall be made considering both the risk level and the sensitivity level of the duties and assigning an investigation accordingly. Where the national security designation is greater than the public trust designation, the national security investigation should be performed. Where the public trust designation is greater than the national security designation, the public trust investigation should be performed.
TABLE 1: National Security Sensitivity Level
|
NATIONAL SECURITY SENSITIVITY LEVEL |
CRITERIA |
|
Special-Sensitive (SS) |
Includes any position that the head of the agency determines to be in a level higher than Critical-Sensitive because of special requirements under authority other than E.O. 10450 (e.g., DCID 6/4, Personnel Security Standards and Procedures Governing Eligibility for Access to Sensitive Compartmented Information (SCI)). |
|
Critical-Sensitive (CS) |
Potential for exceptionally grave damage to the national security. Includes positions involving any of the following:
- Access to Top Secret national security information.
- Development or approval of war plans, plans or particulars of future major or special operations of war, or critical and extremely important items of war.
- Investigative duties, the issuance of personnel security clearances, or duty on personnel security boards.
- Commissioned law enforcement duties.
- Other positions related to national security, regardless of duties, that require the same degree of trust. |
|
Noncritical-Sensitive (NCS) |
Potential for damage to serious damage to the national security. Includes positions that involve any of the following:
- Access to Secret or Confidential national security information.
- Duties that may directly or indirectly adversely affect the national security operations of the agency. |
|
Non-Sensitive (NS) |
No potential for damage to the national security. Positions do not have access to Secret or Confidential security information and have no duties that may directly or indirectly affect national security. |
ATTACHMENT 2
441 DM 3 - PUBLIC TRUST DUTIES
A. Public Trust Duties. Public trust positions have three risk levels at which a position can be designated (Low, Moderate, or High), in accordance with the Risk/Sensitivity Designation System (See Attachment 4). Position designations will be based on an assessment of the individual position’s responsibilities and assignments (See Attachment 4A). Positions that appear similar based on title or organizational location may have different designations as a result of differing assignments and/or technical, operational or management controls. The Risk/Sensitivity Designation System has three phases:
(1) Program Designation: The first phase is determining the program designation. The program designation is determined at the bureau-level by the Bureau or Office Head (See Attachment 4, Table 2).
(2) Position Risk Points: The second phase is determining the position risk designation, which is position-specific. Use the criteria in Attachment 4, Table 3 - Public Trust Risk Determination (below) to evaluate the duties of the individual position. All position risk designations must be determined by the point value assigned under the application of the Risk/Sensitivity Designation System.
(3) Position Designation: After both the program determination and the position risk points are assigned, the final phase is to merge both determinations to obtain the appropriate Position Designation. (See Attachment 4, Table 4).
B. Public Trust Positions with National Security Duties. In some instances, the position may have both public trust and national security duties. In those instances, the final position designation shall be made considering both the risk level and the sensitivity level of the duties and assigning an investigation accordingly. Where the pubic trust designation is greater than the national security designation, the public trust investigation should be performed. Where the national security designation is greater than the public trust designation, the national security investigation should be performed.
C. Position Placement Responsibility. Management of all public trust position designations shall be the responsibility of the Personnel Officer in each bureau or office. Personnel Officers shall have the oversight and review authority for position designations for public trust positions. However, it is the responsibility of program managers/supervisors to make actual public trust position designation decisions, in consultation with Personnel Officers. (See 441 DM 2.3F). In addition, Personnel Officers will coordinate efforts with Security Officers for personnel security and suitability adjudication, and for program placement in public trust positions. (See 441 DM 2.3E) The Program Manager/Supervisor is accountable for the position placement, taking into account input from the Personnel Officers and the Security Officers.
D. Computer/ADP Position Risk Levels. The Computer/ADP position risk levels are an integral part of the Risk Designation System. Computer/ADP position risk levels are described in Attachment 4A, which delineates all levels and criteria.
E. Positions Designated as High Risk. Any position that is designated as High Risk must receive concurrence from the Office of the Deputy Secretary of the Interior.
ATTACHMENT 3
441 DM 3 - BUREAU OF INDIAN AFFAIRS POSITIONS HAVING REGULAR CONTACT WITH OR CONTROL OVER CHILDREN
Requirement for Background Investigations for BIA employees who have regular contact with or control over Indian children. Pursuant to the Indian Child Protection and Family Violence Prevention Act (P.L. 101-630, 25 U.S.C. 3201 et. seq), the Bureau of Indian Affairs is required to perform a background investigation for each employee who has regular contact with or control over children. These positions are considered public trust positions utilize the Risk/Sensitivity Designation System outlined in Attachment 4.
A The Bureau of Indian Affairs shall compile
a list of all authorized positions the duties and responsibilities of which
involve regular contact with, or control over, children, as required by the
Indian Child Protection and Family Violence Prevention Act. These positions
may be determined by Personnel Officers in coordination with supervisors and
school superintendents.
B. The Bureau of Indian Affairs shall not allow new employees to have contact with children prior to completion of the advanced fingerprint check performed by the Federal Bureau of Investigation’s National Crime Information Center.
C. The required screening investigation for most employees who have regular contact with or control over children is a Child Care National Agency Check with Written Inquiries (CNACI). In addition, all such employees must meet the minimum standards set forth in 25 U.S.C. 3207(b) and such other standards as may be required by law or Department policy. In some cases, an employee may have other public trust or national security duties that require a more comprehensive screening investigation. In those cases, ensure that the screening evaluation includes the additional element of a CNACI: State criminal history repository (SCHR) check for all states of residence and tribal criminal history check for all tribal jurisdictions of residence that will reasonably provide such a tribal criminal history.
ATTACHMENT 4
The Risk/Sensitivity Designation System is designed to facilitate the determination of how a position fits within a program. As discussed above, the Risk/Sensitivity Designation System includes three phases: (1) Program designation; (2) Position Risk Points; and (3) Position Designation.
STEP I. PROGRAM DESIGNATION
A. Program Designation. The bureau/office identifies both the impact (Major, Substantial, Moderate, or Limited) and scope (Worldwide, Government-wide, Multi-agency, or Agency) of an agency or agency program as it relates to the integrity and efficiency of Federal service. Each bureau/office will need to determine its program designation. The bureau/office may chose to divide its components along a few programmatic lines and to have a series of designations with some higher than others; however, if a bureau/office has more than three designations, it will need to seek concurrence with the Office of the Deputy Secretary.
(1) The majority of the programs within the Department are expected to have either a Limited or Moderate impact. The concurrence of the Office of the Deputy Secretary is required if a bureau or office designates a program as Substantial or Major.
(2) The bureau/office head shall determine the impact and scope of the program and make a final program designation (See Table 2).
(3) Within sixty (60) days of the publication of this Chapter, each bureau/office shall submit its program designation(s) along with a detailed explanation to the Office of the Deputy Secretary for concurrence. The Office of the Deputy Secretary will act within thirty (30) days. Should circumstances change, a bureau shall submit in writing a request and explanation, to the Office of the Deputy Secretary, as to why its program should be redesignated.
B. Impact. Impact thresholds are detailed in the rows of Table 2. Most impacts within the Department will likely fall under either category Moderate or Limited. Moderate Impact is considered to impact directly on the integrity and effectiveness of an agency’s operations, the fiscal interests of an agency, or affects the social, political, or economic interests of individuals, businesses, or organizations in the private sector. The term agency is referring to the entire Department, not just a bureau or office. Limited Impact is considered to impact the operational effectiveness of one or a few programs in an agency (e.g., a bureau or office), or the interests of a limited number of individuals in the private sector.
C. Scope of Operations. Scope of Operations is described in the columns in Table 2. Most bureaus and offices within the Department will be considered to fall under either the category of Multi-agency or Agency. Multi-agency scope of operations is national or regional activities with a primary focus extending to more than one agency in the public sector, or to the elements in the private sector impacted by the agencies. Agency scope of operations includes operations of the Department, or a region or area, with primary focus extending to the elements in the private sector impacted by the agency. As noted above, agency refers to the entire Department of the Interior, not just a single bureau or office.
D. Program Designation. Designation is determined by placement at the intersection of the appropriate row and column of Table 2. As noted above, because most bureaus and offices will likely involve Moderate or Limited impacts and their scope of operations is likely to be either Multi-agency or Agency, the program designation of each bureau/office will likely be Moderate or Limited. In some circumstances, a Substantial or Major designation may be warranted.
TABLE 2 – Program Designation
(2) Scope of Operations
|
(1) Impact |
WORLDWIDE: Operational activity is carried out worldwide, with primary focus in either the public or the private sector. |
GOVERNMENTWIDE: Operational activity is carried out Governmentwide, to all sectors, with the primary focus on the public sector. |
MULTI-AGENCY: Nationally or regionally with primary focus extending to more than one agency in the public sector, or to the elements in the private sector impacted by the agencies. |
AGENCY: Operations of the agency, or an agency’s region or area, with primary focus extending to the elements in the private sector impacted by the agency. |
|
MAJOR: Impacts directly on the survival, stability, and continued integrity and effectiveness of Government operations, the promotion of major Government fiscal goals, or a primary social, political, or economic interest of the Nation. |
MAJOR
|
MAJOR |
SUBSTANTIAL |
MODERATE |
|
SUBSTANTIAL: Impacts directly on the efficiency and effectiveness of a sizeable segment of the Federal workforce, or the interests of large numbers of individuals in the private sector. |
MAJOR |
SUBSTANTIAL |
SUBSTANTIAL |
MODERATE |
|
MODERATE: Impacts directly on the effectiveness of an agency’s operations, the fiscal interests of an agency, or affects the social, political or economic interests of individuals, businesses, or organizations in the private sector. |
SUBSTANTIAL |
MODERATE |
MODERATE |
LIMITED |
|
LIMITED: Limited impact on the operational effectiveness of one or a few programs in an agency, or the interests of a limited number of individuals in the private sector. |
MODERATE |
MODERATE |
LIMITED |
LIMITED |
STEP II. POSITION RISK POINTS
This step involves the designation of a position(s) for its degree of risk to the program as it relates to the efficiency of the Federal service. The degree of risk is divided into four categories (Major, Substantial, Moderate, and Limited), and is calculated in five factor description areas (Degree of Public Trust, Fiduciary (Monetary) Responsibility, Importance of Program, Program Authority, and Supervision Received).
Determining Position Risk Points (See Table 3)
When designating position sensitivity and risk levels, the duties and responsibilities of the specific position must be considered in the context of the program and the risk that position has for damage or abuse to the program.
A. Risk Factor Descriptions. The bureau Personnel Officer determines the degree of risk that a position poses to the bureau or the bureau program as related to the integrity and efficiency of service. It is important to remember that the risk factors are position-specific. Adjustments may occur based upon input from the Program Manager/Supervisor.
(1) Degree of Public Trust. This risk factor evaluates the degree of confident expectation for honesty, integrity, reliability, responsibility or justice placed on a position.
(2) Fiduciary (Monetary) Responsibility. This risk factor evaluates only those positions with the authority or ability to obligate public money. Under this risk factor, most positions will have a low risk.
(3) Importance to Program. This risk factor evaluates the impact an individual position has on the program as a whole, either individually or collectively. Under this risk factor, the uniqueness of the position may be considered. Under this risk factor, most positions will have a low risk.
(4) Program Authority. This risk factor evaluates the ability of a position to manipulate authority or to control the outcome or results of all or key portions of a program or policy.
(5) Supervision Received. This risk factor evaluates the frequency with which work is reviewed. This risk factor should be evaluated pursuant to the degree of supervision column, found at the right side of the table. Under this risk factor, mitigating factors shall be taken into account such as technical, operational, and management controls over access to, and use of, information of a personal or proprietary nature, such as audits, guards, cameras, back-up tapes, etc., in addition to traditional review by a supervisor.
B. Position Risk Points. Points are assigned under each risk factor to reflect numerically the degree of impact. The higher the degree of risk, the higher the point value for the risk factor. The point values are totaled to provide the total “position risk points” for a position.
C. Degree of Risk. There are four degrees of risk: Major, Substantial, Moderate and Limited. The degree of risk is a measure of the position’s potential to affect the program itself and is not affected by the program designation. For example, a program may be designated as Substantial, but the position in question may only rise to the degree of low risk due to the nature of its assignments or degree of technical, operational, and management controls. It is unlikely, however, that high risk factor values will be assigned to lower program designations (i.e., limited program designations are unlikely to have positions with very high risk factor values). Because of their impact on the designation of any position, position risk points must be assigned appropriately. Therefore, before assigning risk points, review Table 3 and also reference Attachment 4A carefully.
TABLE 3– Position Risk Points
|
DEGREE OF RISK |
a. DEGREE OF PUBLIC TRUST: The consensus of confident expectations for honesty, integrity, reliability, responsibility, or justice placed in a position.
|
b. FIDUCIARY (MONETARY) RESPONSIBILITY: Authority or ability to obligate, control, or expend public money or items of monetary (bonds etc.) value.
|
c. IMPORTANCE TO PROGRAM: Impact the individual position has, due to status, in or influence on the program as a whole either individually or collectively.
|
d. PROGRAM AUTHORITY: Ability to manipulate authority or control the outcome or results of all or key portions of a program or policy.
|
e. SUPERVISION RECEIVED: Frequency work is reviewed and nature of the review.
DEGREE |
|
|
MAJOR: Potential for independently compromising the integrity and effectiveness of a major program element or component, or in conjunction with others, damaging all phases of program operations. |
6-7 |
6-7 |
6-7 |
6-7 |
6-7 |
LIMITED: Occasional review only with respect to major policy issues by superior without expertise in the technical aspects of program policy and operations. |
|
SUBSTANTIAL: Potential for reducing the efficiency of overall program operations, or the overall operations of major program elements or components independently , or through collective action with others. |
4-5 |
4-5 |
4-5 |
4-5 |
4-5 |
PERIODIC: Ongoing spot review of policy and major operational considerations of work by superior, with some knowledge of program operations, but with minimal technical expertise. |
|
MODERATE: Potential for reducing the efficiency of the overall or day-to-day operations of a major program element or component, through independent action or collectively with others. |
2-3 |
2-3 |
2-3 |
2-3 |
2-3 |
MODERATE TECHNICAL: Ongoing spot review of work in connection with important operational issues by superior with technical program expertise. |
|
LIMITED: Potential for damage not meeting above criteria. |
1 |
1 |
1 |
1 |
1 |
CLOSE TECHNICAL: Continuing review of all phases of work by supervisor with technical program expertise. |
STEP III. POSITION RISK DESIGNATION
The results of Steps I and II are next applied to Table 4 below to obtain the position risk designation. The position risk designation is determined at the cell intersection between the program designation column and the position risk points row. The acronyms used in the following chart are as follows: High Risk = HR, Moderate Risk = MR, Low Risk = LR. Further description of the risk level can be found in Attachment 4A.
TABLE 4 – Determining Position Risk Placement
POSITION RISK POINTS
|
PROGRAM DESIGNATION
|
5-10 |
11-15 |
16-20 |
21-25 |
26-30 |
31-35 |
|
Major
|
LR |
MR |
MR |
MR |
HR |
HR |
|
Substantial
|
LR |
LR |
MR |
MR |
MR |
HR |
|
Moderate
|
LR |
LR |
LR |
MR |
MR |
MR |
|
Limited
|
LR |
LR |
LR |
LR |
MR |
MR |
Adjustments
In the event that a supervisor believes that due to the nature of the position or the presence of unusual circumstances, a position should be assigned at a different risk level than what resulted from the Risk/Sensitivity Designation System, an “Adjustment” to the risk level may be appropriate.
(1) Adjustments serve to raise the risk level designation of a position or to convert the designation. As a consequence, the level of investigation must be raised according to the uniqueness or uniformity factors.
(2) Some positions, by the nature of the duties and responsibilities of the program or the position, will require designation at certain levels of risk/sensitivity.
(a) Uniqueness: The following are examples of factors that are unique and may not be fully accounted for in the program or position designation system. The presence of these factors may, but do not necessarily, result in the need to make an adjustment.
(i) Special investigative or criminal justice duties.
(ii) Positions requiring possession and use of a firearm.
(iii) Significant public health and public safety duties.
(iv) Control of an automated monetary system (such as key access entry).
(v) Few-of-a-kind positions with special duties (e.g., Special Assistant to the Secretary, Deputy Assistant Secretary, etc.).
(b) Uniformity: Clearly indicated needs for uniformity in position designation, because of authority level or program placement level that may serve as a basis for making the adjustment include:
(i) The Personnel Officer, in coordination with the supervisor, may adjust position designations at the same authority level to assure uniformity within the bureau/office (e.g., assistant directors with the same level of authority may be placed at the same level of risk/sensitivity). If the placement level is moved to high risk, it will require the approval of the Office of the Deputy Secretary.
(ii) If the placement level of the program is determined to be so overriding as to negate any specific risk considerations associated with individual positions within the program, the bureau/office head may designate all positions within the program at the risk/sensitivity level that is required to best protect the efficiency of the Federal service. Such a determination will require approval by the Office of the Deputy Secretary.
(3) If an adjustment is made, the bureau or office Personnel Officer must document the rationale for the adjustment on Form DI-1959 (See Attachment 5) and then return to Table 5 to select the appropriate FPPS code and screening investigation for the adjusted position.
ATTACHMENT 4A
The following table further explains the three public trust position risk levels and their associated duties and responsibilities:
|
PUBLIC TRUST RISK LEVELS |
CRITERIA |
|
High Risk (HR) Public Trust Position
|
Whether any position is appropriate for placement in the High Risk category depends upon the results of the application of the Risk/Sensitivity Designation System (Attachment 4). In assigning risk levels under this designation process, Personnel Officers (see 441 DM 2.3E) shall take into account technical, operational, and management controls over access to, and use of, information of a personal or proprietary nature, such as audits, guards, cameras, back-up tapes, etc.
Positions found to be in the High Risk category by application of the criteria have the potential for exceptionally serious impact on the integrity and efficiency of the service. Positions of this nature involve duties especially critical to the agency or a broad program mission, have either broad scope of policy or program authority, or will have very significant computer systems involvement as described below. Positions of this nature typically perform work with significant independence and minimal supervisory review. Positions with these characteristics include:
- Policy making, policy determining, and policy implementing.
- Higher level management duties or assignments, with major responsibilities (for example, all SES positions or SES equivalent).
- Independent spokesperson or non-management positions with authority for independent action.
- Higher level positions with (1) access to and control of highly sensitive but unclassified information (e.g., payroll, personnel data, network diagrams, sensitive financial records) and (2) with the means and the potential for realizing significant personal gain.
- Positions directly involving (1) more than $10 million per year in any of the following: accounting, receipts, disbursement, lease, sale, obligation areas, and records management or information and (2) the means and potential for realizing significant personal gain.
- Computer Related Activities that are considered high risk:
* Lead responsibility for the development, direction, implementation, and administration of agency computer security programs, including direction and control of risk analysis and/or threat assessment. * Significant control over national-critical or mission-critical computer systems. * Lead responsibility for preparing or approving data for input into a system which does not necessarily involve personal access to the system, but which creates a high risk for effecting grave damage or for realizing significant personal gain. * Lead responsibility for the direction, planning, design, testing, maintenance, operation, monitoring, or management of systems hardware and software. * Access to a system during operation or maintenance in such a way as to create high risk for causing grave damage or realizing significant personal gain.
|
|
Moderate Risk (MR) Public Trust Position |
Whether any position is appropriate for placement in the Moderate Risk category depends upon the results of the application of the Risk/Sensitivity Designation System (Attachment 4). In assigning risk levels under this designation process, Personnel Officers (see 441 DM 2.3E) shall take into account technical, operational, and management controls over access to, and use of, information of a personal or proprietary nature, such as audits, guards, cameras, back-up tapes, etc.
Positions found to be in the Moderate Risk category by application of the criteria will have the potential for moderate to serious impact on the integrity and efficiency of the service. Positions of this nature involve duties of considerable importance to the agency or program mission with significant program responsibilities or delivery of services. Positions include work that is subject to minimal supervision and technical review. Examples of assignments that would result in a Moderate Risk designation may include the following:
- Those positions with mid-level management duties and assignments (for example, all supervisory positions that report to a SES or SES equivalent).
- A position with responsibility for independent or semi-independent action that can substantially affect programs or delivery of service of great importance to the agency or program.
- Positions in which the incumbent is responsible for the direction, planning, design, operation, or maintenance of a computer system, and whose work is technically reviewed by a higher authority at the High Risk level to insure the integrity of the system. Such positions may involve the responsibility for system design, operation, testing maintenance and/or monitoring that is carried out under technical review by a higher authority. This level includes, but is not limited to: (a) access to and/or processing of proprietary data, Privacy Act data, government developed privileged information involving the award of contracts; (b) accounting, disbursement, or authorization for disbursement from computer systems, of amounts less that $10 million per year but greater than $1 million per year.
- Positions directly involving amounts less than $10 million per year, but greater than $1 million per year, in any of the following: accounting, receipts, disbursement, lease, sale, obligation areas, and records maintenance or information. |
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Low Risk (LR) |
Whether any position is appropriate for placement in the Low Risk category depends upon the results of the application of the Risk/Sensitivity Designation System (Attachment 4). In assigning risk levels under this designation process, Personnel Officers (see 441 DM 2.3E) shall take into account technical, operational and management controls over access to, and use of, information of a personal or proprietary nature, such as audits, guards, cameras, back-up tapes, etc.
Positions found to be in the Low Risk category by application of the criteria will have the potential for limited impact or no impact on the integrity and efficiency of the service. Positions of this nature have considerable supervision and/or involve duties of limited relationship to the agency mission with program responsibilities. Low Risk positions include all positions not found to be in Moderate or High Risk categories; the vast majority of positions in the Department will be designated as Low Risk. Examples of assignments that would result in a Low Risk designation may include the following:
- All positions not included in High Risk and Moderate Risk levels including work that is mainly clerical (including general access to trust records) or that involves the movement of records or any other general involvement with records, which does not include the analysis of data, and is subject to daily supervision and technical review.*
- All Computer/ADP positions not included in the criteria for HR and MR levels.
* If a low risk level applies generally to a position, but the Program/Activity Manager believes the incumbent will occasionally be assigned Moderate Risk tasks or will work in a Moderate Risk environment, he or she must assign the higher level to the position. |
ATTACHMENT 5
FPPS CODES AND BACKGROUND INVESTIGATIONS
Where a position has both national security and public trust duties, the appropriate screening investigation will be determined by the national security duties, except as noted below. The following table provides a breakdown of the appropriate FPPS codes for positions that have both public trust and national security components:
FPPS Codes |
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National Security Duties |
Public Trust Duties |
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High Risk |
Moderate Risk |
Low Risk |
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Special Sensitive
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4 |
4 |
4 |
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Critical Sensitive
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3 |
3 |
3 |
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Non-Critical Sensitive
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3* |
2 |
2 |
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Non-Sensitive
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6 |
5 |
1 |
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*For those positions that are designated as high risk with non-critical sensitive duties, the appropriate FPPS code is 3. The national security components will require the position to be considered a national security position and should be designated as such under the FPPS code. However, the investigation associated with non-critical sensitive is insufficient for the high-risk duties, and therefore, those positions are to receive a designation equivalent to critical-sensitive for purposes of background investigations.
If a bureau or office no longer uses FPPS, the equivalent Position Sensitivity/Risk Level Codes as those above codes must be established.
FPPS CODE |
TYPE OF INVESTIGATION
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EXPLANATION OF INQUIRY |
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1 |
NACI – National Agency Check and Inquiries |
Minimum investigation required for non-sensitive/low risk positions. All coverage is obtained through written inquiry and computer linkages. Coverage includes:
· Employment 5 years · Education 5 years and highest degree verified · Residence 3 years · References (not mandatory) · Law Enforcement 5 years · NACs†
† NATIONAL AGENCY CHECK (NAC): The NAC is a part of every background investigation. Standard NACs are: Security/Suitability Investigations Index (SII), Defense Clearance Investigation Index (DCII), FBI Name Check, FBI National Criminal History Fingerprint check.
Optional checks can include: Credit, Military Personnel Record, citizenship, BVS, Selective Service (males born after 12/31/59), CIA, State Department.
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2 |
Access National Agency Check with Inquiry (ANACI) |
Minimum investigation required for Secret or Confidential clearance under 12968 or DOE “L” clearances. Coverage includes: (Same as NACLC) $ Employment 5 years $ Education 5 years and highest degree verified $ Residence 3 years $ References (not mandatory) $ Law Enforcement 5 years $ NACs $ Law Enforcement (by Record if not covered by Inquiry) $ Credit 7 years
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3&4 |
Single Scope Background Investigation (SSBI) |
The SSBI meets the coverage requirements of Executive Order 12968 for Top Secret, Sensitive Compartmented Information (SCI), and DOE “Q” access. Coverage includes:
$ PRSI (Personal Subject Interview) $ Employment 7 years $ Education 7 years and highest degree verified $ Residence 3 years $ References 4 minimum, 2 developed $ Law Enforcement 10 years $ Court Records 10 years $ Former Spouse 10 years $ Citizenship $ Subject and legal status of foreign-born family $ Spouse/Cohabitant National Agency Checks (NACs) $ Credit 7 years $ NACs
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5 |
Minimum Background Investigation (MBI) |
Generally used for Moderate Risk public trust positions. Coverage (by inquiry only except for PRSI) includes: (Same as NACI) $ Employment 5 years $ Education 5 years and highest degree verified $ Residence 3 years $ References (not mandatory) $ Law Enforcement 5 years $ NACs
Additions to standard NACI
$ PRSI (Personal Subject Interview) $ Credit 7 years
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6 |
Background Investigation (BI) |
Generally used for High Risk public trust positions. Coverage includes: (Same as Minimum Background Investigation) $ Employment 5 years $ Education 5 years and highest degree verified $ Residence 3 years $ References (not mandatory) $ Law Enforcement 5 years $ NACs $ PRSI (Personal Subject Interview) $ Credit 7 years
Additions to MBI Court Records 5 years |
FPPS CODE |
TYPE OF INVESTIGATION |
EXPLANATION OF INQUIRY |
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N/A |
Child Care National Agency Check and Inquiries (CNACI) |
Since June 1, 1997, OPM Investigations Service has been offering an investigative product exclusively designed for child care provider positions.
The Child Care National Agency Check with Written Inquiries (CNACI) was designed by a consortium of Federal agencies which offer child care services. The scope of the CNACI includes:
(Same as NACI) $ Employment 5 years $ Education 5 years and highest degree verified $ Residence 3 years $ References (not mandatory) $ Law Enforcement 5 years $ NACs
Additional to NACI: $ State criminal history repository (SCHR) checks for all states of residence
Other coverage elements, such as a credit search are available by request, or when certain background conditions exist. |
FPPS CODE |
TYPE OF INVESTIGATION |
EXPLANATION OF INQUIRY |
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N/A |
National Agency Check with Law and Credit (NACLC) |
Minimal investigation required by E.O. 12968 on contractors or consultants for access to Secret or Confidential classified information. This is the reinvestigation for a secret clearance. Coverage includes:
(Same as NACI) $ Employment 5 years $ Education 5 years and highest degree verified $ Residence 3 years $ References (not mandatory) $ Law Enforcement 5 years $ NACs
Additions to standard NACI $ Law Enforcement (by Record if not covered by Inquiry) $ Credit 7 years
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FPPS CODE |
TYPE OF INVESTIGATION |
EXPLANATION OF INQUIRY |
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3 & 4 |
Single Scope Background Investigation – Periodic Reinvestigation (SSBI-PR) |
The SSBI-PR meets the requirement of E.O. 12968. Coverage includes:
$ PRSI (Personal Subject Interview) $ Employment 5 years $ Education 5 $ Residence 5 years $ Law Enforcement 5 years $ Court Records 5 years $ Former Spouse 5 years $ References $ Subject, Spouse/Cohabitant National Agency Checks (NACs) $ Citizenship (Subject and legal status of foreign-born family, if not previously covered)
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6 |
Periodic Reinvestigation (PRI) |
The PRI is primarily conducted for High Risk positions. Coverage includes:
$ PRSI (Personal Subject Interview) $ References $ Law Enforcement 5 years $ Credit 5 years $ NACs
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ATTACHMENT 6
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DEPARTMENT OF THE INTERIOR POSITION DESIGNATION RECORD
BUREAU/OFFICE:_________________________PROGRAM:________________________________
POSITION TITLE:____________________________________________________________________
POSITION DESCRIPTION # :___________________________________________________________
I. PROGRAM DESIGNATION: Determined by Bureau/Agency head: _________ _________ _________ _________ Major Substantial Moderate Limited
II. POSITION PLACEMENT: Risk Factors Risk Points
a. Degree of Public Trust (7-1): __________ b. Fiduciary Responsibility (7-1): __________ c. Importance to Program (7-1): __________ d. Program Authority (7-1): __________ e. Supervision Received (7-1): __________
TOTAL POINTS: _____________ Note: Place C after the risk level if this is a Computer/ADP position
III. (A) INITIAL POSITION RISK DESIGNATION: (High Risk, Moderate Risk or Low Risk)
Adjustments (Include national security and computer/AIS criteria): Comments:
(B) FINAL PLACEMENT: (Sensitivity SS/CS/NCS, and access level SCI/Top Secret/Secret or Risk level HR/MR/LR):
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__________________________________________ Signature of Agency Designator __________________________________________ Printed Name of Agency Designator __________________________________________ Date __________________________________________ Telephone Number
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