430 FW 1, Policy and Responsibilities


FWM#:       132 (new)
Date:          March 11, 1994
Series:        Security
Part 430:    Personnel Security
Originating Office: Division of Personnel Management


1.1 Purpose. This part provides the policies, regulations, and procedural guidelines for the operation of the personnel suitability and security program of the U.S. Fish and Wildlife Service (Service).

1.2 Scope. The provisions of this part are applicable to all Service employees and positions regardless of type of appointment or position or tenure, and includes consultants. Nothing in this part is intended to eliminate or modify any personnel suitability or security requirements established by law or Executive Order (EO).

1.3 Authorities.

A. EO 10450, Security Requirements For Government Employment and 12356, National Security Information.

B. National Security Directive 63, Single Scope Background Investigations.

C. Federal Personnel Manual (FPM) Chapters 731, Personnel Suitability; 732, National Security Positions; and 736, Personnel Investigations.

D. Departmental Manual (DM), Parts 440, Personnel Suitability; 441, National Security Positions; 445, Personnel Investigations; and 442, Security - National Security Information.

1.4 Objectives. This part prescribes personnel suitability and national security methods and responsibilities for necessary administration of the program and orderly processing of actions to ensure that the Service conforms to Federal regulations governing suitability for Federal employment and national security interests.

1.5 Definitions.

A. Background Investigation. A personnel investigation conducted to meet the requirements of FPM Chapters 731 and 732.

B. Consultant/Contractor. An individual performing a service under an agreement or contract to the Service.

C. Derogatory Information. Information that indicates employment or continuing employment of an individual may not reasonably be expected to promote the efficiency of the Federal service or expected to be clearly consistent with the interests of national security.

D. National Security Clearance. An administrative determination based upon the results of an investigation that an individual is trustworthy and may be granted access to classified national security information to the degree required in the performance of assigned duties. There are three clearance levels: Top Secret, Secret, and Confidential.

E. National Security Position Sensitivity Designation. Designation of a position at a national security sensitivity level based on the degree of damage that an individual, by virtue of the occupancy of the position, could do to national security. Designations are assigned to assure appropriate screening under EO 10450.

F. National Security Position Sensitivity Levels. There are three levels of position sensitivity: Special Sensitive (SS), Critical Sensitive (CS), and Non-Critical Sensitive (NCS).

G. Position Risk Levels. There are three levels of position risk: High Risk (HR), Moderate Risk (MR), and Low Risk (LR).

H. Postplacement Investigation. An investigation completed after placement.

I. Preplacement Investigation. An investigation completed prior to placement.

J. Public Trust Position. A position that meets the HR or MR level of the suitability and/or computer/Automated Data Processing (ADP) position criteria.

K. Suitability Position Risk Designations. The designation of a position's risk level commensurate with the public trust responsibilities and attributes of the position as they relate to the efficiency of the Federal service. The suitability risk levels are ranked according to the degree of adverse impact on the efficiency of the Federal service that an unsuitable person could cause.

1.6 Responsibilities.

A. The Director is responsible for Servicewide administration and direction of the personnel suitability and security program, designating a security officer and alternate, and assuring full management commitment to the goals and objectives of the program.

B. Regional Directors are responsible for ensuring the personnel suitability and security program is effectively administered and maintained within their respective Regions through the appropriate Assistant Regional Directors. Regional Directors are responsible for designating a Security Representative to assist the Security Officer in the discharge of responsibilities outlined in 430 FW 1.6E.

C. Security Officer is responsible for oversight, compliance, and inspection of security and training procedures for all Service elements to assure that employees are cognizant of their security responsibilities. The Security Officer is responsible for the day-to-day management, development, and maintenance of the personnel suitability and security program. These responsibilities include, but are not limited to, the following:

(1) Ensuring the program is in conformance with all applicable directives.

(2) Oversight and review authority for personnel suitability and security, adjudication, program and position risk designation, and position sensitivity designation.

(3) Ensuring investigations and reinvestigations are conducted in accordance with the Office of Personnel Management (OPM) and Departmental investigative requirements.

(4) Reviewing and adjudicating investigations for positions designated SS, CS, and NCS (national security).

(5) Ensuring the review and adjudication of investigations, for positions designated HR, MR (public trust), and Non-Sensitive (NS)/LR is restricted to those who have undergone a favorably evaluated background investigation commensurate in scope and coverage with the risk imposed by the nature of the investigative information being reviewed.

(6) Granting national security clearances within the Service.

(7) Ensuring individuals granted security clearances are briefed, through their respective Security Representatives, prior to authorizing them access to classified information.

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

(9) Issuing certifications and recertifications for SS, CS, and NCS (national security) and HR and MR (public trust) positions.

(10) Maintaining a master listing of SS, CS, and NCS (national security) and HR and MR (public trust) positions, and a central verification system for SS, CS, and NCS positions requiring national security clearances.

(11) Maintaining appropriate suitability/security file documentation for each individual in a SS, CS, and NCS (national security) and HR and MR (public trust) position.

(12) Providing guidance on personnel suitability and security matters to Regional Personnel Officers (POs) and Security Representatives.

(13) Submitting personnel suitability and security reports to OPM and the Office of Enforcement and Security Management, as required.

(14) Obtaining and certifying personnel investigation and national security clearance information with other agencies and bureaus, as required.

D. Personnel Officers. Responsibilities of the Regional POs and the Chief, Branch of Headquarters Operations, Division of Personnel Management, include, but are not limited to, the following:

(1) Implementing plans to ensure the assignment of program and position risk level designations and position sensitivity designations in conjunction with program managers and supervisors. Positions identified to denote ADP involvement should be coordinated with the Bureau Information Resources Security Administrator/Officer (BIRSA/O).

(2) Ensuring the Security Officer is promptly notified of all relevant personnel actions for SS, CS, and NCS (national security) and HR and MR (public trust) positions that include, but are not limited to, the following: reassignments, promotions, details, transfers, and separations. Forwarding a copy of the Notification of Personnel Action (Standard Form (SF)-50) to the Security Officer.

(3) Ensuring position risk and sensitivity designation information is entered into the automated personnel/payroll system (PAY/PERS), included on all vacancy announcements, and recorded on all Requests for Personnel Action (SF-52) and Notifications of Personnel Action (SF-50) and position descriptions, and Optional Form (OF)-8.

(4) Ensuring vacancy announcements for SS, CS, and HR positions state that appointment is contingent upon a favorably adjudicated preplacement investigation. Selection letters should be specific that entry on duty cannot occur until the investigation is completed. Regional POs may initiate a request for a waiver of the preappointment investigative requirement for CS and HR positions "in case of emergency" provided such action is necessary in the national interest. The preappointment investigative requirement will not be waived for positions designated SS.

(5) Ensuring the required investigation is conducted for NS/LR positions.

(6) Ensuring suitability adjudication or adverse actions for NS/LR positions are completed in accordance with FPM Chapters 731 and 752. Ensuring 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 risk imposed by the nature of the investigative information being reviewed.

(7) Maintaining appropriate personnel file documentation in support of the personnel suitability program.

(8) Maintaining a record of OPM investigations in the Official Personnel Folder (OPF), in accordance with FPM Supplement 293-31.

(9) Obtaining proper training covering program designation, position risk and position sensitivity designation, suitability adjudication and adverse actions, and other personnel suitability related matters.

(10) Ensuring training is provided to those responsible for reviewing, adjudicating, and processing personnel suitability investigations.

E. Regional Security Representatives. The Security Representatives responsibilities include, but are not limited to, the following:

(1) Serving as the principal point of contact with the Security Officer for personnel security matters.

(2) Ensuring the original of OPM's "Certification of Investigation" is forwarded to the servicing personnel office for inclusion in the individual's OPF.

(3) Ensuring PAY/PERS and/or the Federal Personnel Payroll System is accurate with current personnel suitability/security designations.

(4) Conducting security briefings/debriefings as required and ensuring the Nondisclosure Agreement (NDA), SF-312, is executed by all employees issued a security clearance prior to being granted access to classified information, and forwarding the NDA to the Security Officer for retention.

(5) Initiating security clearance requests and forwarding them to the Security Officer for processing.

F. Service Managers and Supervisors are responsible for the following:

(1) Ensuring all programs and positions under their authority are properly designated in terms of program and position risk, and position sensitivity. Position risk and position sensitivity designations should be assigned in coordination with servicing personnel offices in order to ensure uniformity and consistency.

(2) Ensuring inclusion of position risk or position sensitivity on the SF-52 each time an action is requested.

G. Bureau Information Resources Security Administrator/Officer. The BIRSA/O is responsible for providing oversight and review authority for all positions identified to denote ADP involvement. Servicing personnel offices, program managers, and supervisors should coordinate with the BIRSA/O to ensure the appropriate risk/sensitivity level is assigned to positions with ADP responsibilities.

H. Employees. Employees are responsible for promptly completing and submitting the required security, investigative, and personnel forms to their respective servicing personnel offices or Security Representatives in order to initiate OPM investigations.

1.7 Program Appraisals.

A. The Security Officer will conduct suitability and security program appraisals periodically during regularly scheduled Personnel Management Evaluations or at other times deemed appropriate by the Security Officer.

B. Appraisals will include, but are not limited to, a review of the following:

(1) Plans and procedures for designating program and position risk, and position sensitivity.

(2) Plans and procedures for initiating, processing, and following up on required initial personnel investigations and periodic reinvestigations.

(3) Plans and procedures for reviewing, adjudicating, and responding to OPM personnel investigations.

(4) Plans and procedures for maintaining personnel security investigation information results in the OPF.

(5) Documentation and record keeping.

(6) Plans and procedures for conducting security briefings.



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