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Department of the Interior

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

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:

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:

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.

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.

(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 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).

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.

(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

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).

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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10/3/00 #3325

Replaces 7/17/89 #2864

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