Department of the Interior Departmental Manual
Effective Date: 10/3/00
Series: Law Enforcement and Security
Part 441: Personnel Security and Suitability Requirements
Chapter 3: Position Sensitivity and Risk Level Designation Criteria
Originating Office: Office of Managing Risk and Public Safety
441 DM 3
3.1 General Requirements. All positions must be designated at a national security sensitivity or public trust risk level based on the degree of damage that an individual, by virtue of the occupancy of the position, could effect to the national security or the efficiency of the Federal service. (This requirement includes positions occupied by contractor employees.)
3.2 Risk/Sensitivity Designation System. A Risk/Sensitivity Designation System is used to determine position sensitivity or risk level and to assure uniformity and consistency. Illustration 1 of this Chapter provides the requirements and steps of the Risk/Sensitivity Designation System used to complete the Position Designation Record, DI 1959 (Illustration 2, this chapter).
3.3 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 (see 441 DM 3.5). For example: Critical-Sensitive would convert to High Risk; Noncritical-Sensitive would convert to Moderate Risk; Low Risk positions shall remain as Non-Sensitive.
A. If the sensitivity or risk level of the position has changed, 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.
3.4 National Security Positions. All positions that have national security related duties must be designated at sensitivity levels to assure appropriate screening under 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. There are three sensitivity levels at which a position can be designated. The following delineates the levels and the criteria:
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. |
3.5 Public Trust Positions. All positions that do not have national security related duties are public trust positions and must be designated at risk levels commensurate with the public trust responsibilities and attributes 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. Such activities include public safety and health, collection of revenue, finance, authority to commit government funds through grants, loans, loan guarantees, or contracts. There are three risk levels at which a position can be designated. The following delineates the levels and the criteria:
RISK LEVELS |
CRITERIA |
High Risk (HR) |
Positions included are those that have the potential for exceptionally serious impact involving duties especially critical to the agency or a program mission with broad scope of policy or program authority or significant computer systems involvement such as: - Higher management assignments. - Independent spokesperson or non-management positions with authority for independent action. - Development and administration of agency computer security programs, including direction and control of risk analysis and/or threat assessment. - Significant involvement in life-critical or mission-critical computer systems. - Preparation or approval of data for input into a computer system that does not necessarily involve personal access to the system but could realize significant personal gain. - Assignments associated with or directly involving accounting, disbursement, or authorization for disbursement from computer systems of (a) $10 million per year or greater, or (b) lesser amounts if the activities of the individual are not subject to technical review by higher authority to ensure the integrity of the system. - Assignments associated with or directly involving accounting, disbursement, obligation, lease, sale, and records maintenance of tribal and individual Indian trust resources, including serving as conservator or in a position of similar responsibility to individuals and preparation and approval of data, proprietary and otherwise, that does not necessarily involve personal access but could realize significant personal gain. - Major responsibility for direction, planning, design, testing, maintenance, operation, monitoring, and/or management of computer systems hardware and software. - Other positions designated by the agency head or designee that require the same degree of public trust. |
Moderate Risk (MR) |
Positions included are those that have the potential for moderate to serious impact involving duties of considerable importance to the agency or program mission with significant program responsibilities and delivery of customer services to the public such as: - Assistants to policy development and implementation. - Mid-level management assignments. - Non-management positions with authority for independent or semi-independent action. - Computer systems design, operation, testing maintenance and/or monitoring that is technically reviewed by a higher authority including (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. - Other positions designated by the agency head or designee that require the same degree of public trust. |
Non-Sensitive/Low Risk (NS/LR) |
Potential for impact involving duties of limited relation to the agency mission with program responsibilities which affect the efficiency of the service. Computer positions not included in the criteria for HR and MR levels. |
3.6 Contractor/Consultant Positions. A clause/statement will be included in contracts/consultant agreements stipulating the risk/sensitivity level of the activities performed under the contract/agreement. The risk/sensitivity level will be designated by the bureau/office security officer for consultant/contractor employees by using the Risk/Sensitivity Designation System in 441 DM. The type of background investigation will be based on the risk/sensitivity designation.
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, (Illustration 2) shall be completed by the supervisor, or other authorized authority, for each position. Position sensitivity and public trust designations should be assigned in conjunction with servicing personnel offices in order to ensure uniformity and consistency.
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 in the following situations:
(1) When a new position is established;
(2) Changes to the duties of a position require the position sensitivity or public trust designation to be raised or lowered;
(3) Changes to the duties of a position require the position to be identified to denote ADP involvement; or
(4) The program mission changes as a result of reorganization that in turn affects the level of position sensitivity or public trust.
3.7 Position Sensitivity/Risk Level Codes in FPPS.
1 Non-Sensitive/Low Risk
2 Noncritical-Sensitive
3 Critical-Sensitive
4 Special-Sensitive
5 Moderate Risk
6 High Risk
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Illustration 1
Risk/Sensitivity Designation System
The designation system provides a systematic way of obtaining uniformity in program placement and position sensitivity and risk level designations. The criteria delineated in paragraphs 441 DM 3.4 and 3.5 shall be applied in determining the appropriate designation level. The Risk/Sensitivity Designation System is divided into three parts:
Part I: Designation of a bureau/office and program for its impact (Major, Substantial, Moderate, or Limited) and scope (Worldwide, Governmentwide, Multi-agency, or Agency) as it relates to the efficiency of the Federal service.
Program Placement. (Use Chart 1 of this Illustration.)
(1) Impact of the program, described in the rows of the table, is determined by identifying the area of primary program focus, and then relating that area to one of the following descriptions:
- accounting for, auditing or disbursement of public funds;
- administrative, regulatory or policy control over public and/or private programs or operations;
- protection of the national security;
- enforcement of Federal laws; or
- protection of life or property.
If a program has more than one area of primary focus, or if questions arise as to placement of a program at one of two impact descriptions (e.g., Substantial or Moderate), decision should be based on the best interests of the agency mission. If the program is primarily based on national security, apply the criteria in 441 DM 3.4.
(2) Scope of Operations is described in the columns of the table.
(3) Determining Program Placement is designated at the intersection of the appropriate row and column of the table.
Examples: Substantial impact + Multi-agency scope = Substantial; and Limited impact + Worldwide scope = Moderate.
Chart 1
(2) SCOPE OF OPERATIONS |
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(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 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 |
(3) PROGRAM PLACEMENT |
Part II: Designation of a positions(s) for its degree of risk upon 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). National security and public trust positions are assigned risk points.
Position Risk Points. (Use Chart 2 of this Illustration.)
(1) When designating position sensitivity and risk levels, the duties and responsibilities of the position must be considered in the context of the program and the risk that the position has for damage or abuse to the program.
(2) Points are assigned under each risk factor to reflect numerically the degree of impact (points may also be assigned at the 2, 4, and 6 points values). The greater the impact, the more points assigned. After points are assigned for all five risk factors, the sum is used to arrive at the position risk points.
(3) Example: Substantial Degree of Public Trust (5 points), Substantial Fiduciary (Monetary) Responsibility (5 points), Limited Importance to Program (1 point), Limited Program Authority (1 point), and Moderate Technical Supervision (3 points) = position risk points (5+5+1+1+3 =15).
Chart 2
RISK FACTOR DESCRIPTIONS |
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DEGREE |
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
DEGREE |
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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. |
7 |
7 |
7 |
7 |
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. |
5 |
5 |
5 |
5
|
5 |
PERIODIC: Ongoing spot review of policy and major operationalconsiderations 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. |
3 |
3 |
3 |
3 |
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. |
. |
POSITION RISK POINTS |
Part III: Final designation of position risk/sensitivity includes using Parts I and II of this Illustration to determine Position Placement, followed by adjustments which include descriptions of unique factors specific to positions and organizational uniformity of operations. These steps should be taken to arrive at the final designation of the position.
Placement and Adjustment. (Use Chart 3 of this Illustration.)
(1) The results of Part I and II placement are next applied to the chart below to obtain the risk level placement.
Acronyms used in the following chart: High Risk = HR, Moderate Risk = MR, and Non-Sensitive/Low Risk = NS/LR.
Chart 3
I. PROGRAM PLACEMENT |
II. POSITION RISK POINTS |
|||||
5-10 |
11-17 |
18-23 |
24-29 |
30-33 |
34-35 |
|
MAJOR |
NS/LR |
MR |
MR |
HR |
HR |
HR |
SUBSTANTIAL |
NS/LR |
MR |
MR |
MR |
HR |
HR |
MODERATE |
NS/LR |
NS/LR |
MR |
MR |
MR |
HR |
LIMITED |
NS/LR |
NS/LR |
NS/LR |
NS/LR |
MR |
HR |
. |
III. POSITION RISK LEVEL |
(2) Examples: Part I. Moderate + Part II. 22 points = Part III. Moderate Risk; Part I. Major + Part II. 9 points = Part III. Low Risk.
(3) Adjustments: Some positions, by the very nature of the duties and responsibilities of the program or the position, will require designation at certain levels of risk/sensitivity (e.g., all positions with law enforcement authority, at a minimum, are designated Critical-Sensitive). Final adjustment in the designation process must take into account unique factors specific to positions and the organizational need for uniformity of operations.
(a) Uniqueness: Factors that are unique and are not fully accounted for in the program or position designation system that can cause adjustments include:
- Few-of-a-kind positions with special duties (e.g., Special Assistant to the Secretary, Deputy Assistant Secretary, Assistant or Associate Directors, etc.).
- Support positions with no responsibilities for preparation or implementation of program policies and plans, but involving regular contact with, and ongoing knowledge of, all or most of such material (e.g., Budget Analyst).
(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:
- Bureau/office head 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 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.
- In assigning position risk points in Part II, adjustments may also be made by assigning points at the 2, 4, and 6 points values.
Examples:
I = Moderate Program
II = Position Risk Points: 20
III = Placement: Moderate Risk
Adjustments: Special Assistant (Criminal Justice) with access to Secret national security information.
Final Placement: Noncritical-Sensitive (Required background investigation is an Access National Agency Check and Inquiries (ANACI).
I = Major Program
II = Position Risk Points: 29
III = Placement: High Risk
Adjustments: Access to Secret national security information.
Final Placement: Critical-Sensitive (Required background investigation is a Background Investigation (BI).
I = Substantial Program
II = Position Risk Points: 30
III = Placement: High Risk
Adjustments: Access to Top Secret national security information.
Final Placement: Critical-Sensitive (Required background investigation is a Single Scope Background Investigation (SSBI).
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Illustration 2
DEPARTMENT OF THE INTERIOR POSITION DESIGNATION RECORD BUREAU/OFFICE: PROGRAM: POSITION TITLE: POSITION DESCRIPTION # : |
|
I. PROGRAM PLACEMENT: Impact on efficiency of Federal service: (Major, Substantial, Moderate, Limited) Scope of Operations: (Worldwide, Governmentwide, Multi-Agency, Agency) Program Placement: (Major, Substantial, Moderate, Limited) II. POSITION PLACEMENT: Risk Factors 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: III. POSITION RISK DESIGNATION: (High Risk, Moderate Risk or Low Risk)
Adjustments (Include national security and computer/AIS criteria: Comments:
FINAL PLACEMENT: (Sensitivity SS/CS/NCS, and access level SCI/Top Secret/Secret or Risk level HR/MR/LR): |
Risk Points
|
Signature of Agency Designator Printed Name of Agency Designator
Date
Telephone Number |
DI 1959
(Rev. 5/99)
10/3/00 #3325
Replaces 7/17/89 #2864