430 FW 4, Adjudication, Clearance, and Documentation


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



4.1 Suitability and Security Standards.

A. Suitability Standards. All Federal competitive service positions and positions outside the Federal competitive service are subject to suitability considerations based on position risk. No person will be employed or retained in a High Risk (HR), Moderate Risk (MR), or Non-Sensitive (NS)/Low Risk (LR) position involving public trust and/or in an Automated Data Processing (ADP) position (under Office of Management and Budget Circular A-130) in the Federal service unless there is a reasonable expectation that the employment would promote the efficiency of the Federal service. This determination should be based on consideration of the criteria in the Federal Personnel Manual (FPM) Chapter 731.

B. Security Standards. No person in a Federal competitive service position or position outside the Federal competitive service will be employed or retained in a Special Sensitive (SS), Critical Sensitive (CS), or Non-Critical Sensitive (NCS) (national security) position involving access to classified national security information under Executive Order 10450 unless the employment or continued employment is clearly consistent with the interests of national security based on the criteria in FPM Chapter 732.

4.2 Transmittal and Adjudication of Investigative Reports.

A. Upon receipt of investigative reports from the Office of Personnel Management (OPM), results for positions designated HR or MR (public trust) will be transmitted to the appropriate Security Representative. All investigation results for NS/LR positions will be transmitted to the respective servicing personnel office.

B. If an investigation report contains issues or unresolved information on individuals in HR, MR (public trust), or NS/LR positions, the file will be transmitted as indicated in 4.2A of this chapter. Adjudication action will be in accordance with FPM Chapter 731. A copy of the Office of Federal Investigations (OFI) Form 79A, Report of Agency Adjudicative Action on OPM Personnel Investigations (or OPM replacement form), will be attached to reports with potentially derogatory issues or unresolved information. These OFI Form 79A's must be promptly completed and forwarded to OPM with an information copy to the Security Officer.

C. Investigative reports on individuals in SS, CS, and NCS (national security) positions will be adjudicated only by the Security Officer. The original OPM Certification of Investigation will be forwarded to the servicing personnel office for inclusion in the Official Personnel Folder (OPF).

D. Servicing personnel offices will maintain the original OPM Certification of Investigation, annotated to reflect the results of the adjudication, in the subject's OPF. All other OPM investigative report material should be properly destroyed once it has served its purpose.

E. If the final adjudication is favorable, the investigation may be used by the Security Officer as a basis to grant a national security clearance.

F. If the final adjudication is unfavorable, the individual should be provided due process in accordance with 4.3 of this chapter

4.3 Due Process.

A. Suitability. Servicing personnel offices will follow the appropriate procedures prescribed in FPM Chapter 731, 5 CFR 731.303, 5 CFR 315, 5 CFR 752, and/or 440 DM when adverse suitability disqualification actions are being taken (based on the results of an OPM investigation) against an applicant eligible for appointment in, or an applicant or employee in, the Federal service.

B. Security. The Security Officer will follow the appropriate procedures prescribed in FPM Chapter 732 and 441 DM when adverse national security disqualification actions are being taken (based on the results of an OPM investigation) against an applicant eligible for appointment in, or an applicant or employee in, the Federal service.

4.4 National Security Clearances. Based on the proper justification for requiring access to classified national security information and favorable review of the appropriate investigation, the Security Officer will issue a Clearance Certificate. Only Top Secret and Secret clearances are granted. Individuals requiring access to only Confidential information will be granted Secret clearances.

4.5 Briefing and Debriefing for National Security Clearances.

A. Briefing. Prior to being granted access to classified information, a Nondisclosure Agreement (NDA) Standard Form (SF)-312 will be executed and a copy of Part 431 FW, Information Security, provided to the employee during the briefing. The briefing and the witnessing of the employee's signature on the NDA should be conducted by either the individual's first level or higher supervisor or the local Security Representative. The first level or higher supervisor or Security Representative will also execute the NDA as a witness. The NDA will then be transmitted through the Security Representative, and forwarded to the Security Officer for retention.

B. Debriefing. Supervisors will apprise individuals of their continuing obligation to protect their knowledge of classified or otherwise sensitive information obtained in conjunction with performing the duties of their position. The Security Debriefing Acknowledgement, on the reverse side of the NDA, will be properly executed by the individuals being debriefed and forwarded to the Security Officer. A debriefing will be administered by the Security Officer or Security Representative to individuals with a national security clearance when any of the following events occur:

(1) Termination of employment.

(2) Transfer to a position where access is no longer required.

(3) Access authorization is administratively withdrawn.

(4) Departure on leave in excess of 3 months.

(5) Transfer to another agency.

(6) Access no longer required.

4.6 Administrative Downgrading or Termination of National Security Clearances. The Security Officer will maintain a continuing program to review national security clearances in order to reduce the number and level of clearances to the minimum number necessary to meet operational requirements. Supervisors will promptly notify the Security Officer or respective Security Representative in writing when an individual terminates employment with the Service or no longer requires or has access to classified national security information commensurate with the level of clearance. The Security Officer will take action to administratively downgrade or terminate the clearance.

4.7 Conference Clearance and Certification.

A. Employee Certification. If a cleared employee is to attend a conference or meeting where a security clearance is required, supervisors shall notify the Security Officer or Security Representative in writing as early as possible. The Security Officer will prepare and forward the necessary certification to the host activity.

B. Visitor Certification. Service organizational elements or individuals hosting meetings or visitors involving classified national security information will advise prospective attendees to have their respective security officers prepare and transmit certifications of the attendees' national security clearances and investigation record information used as basis to grant the clearance to the Security Officer. In rare situations where time does not allow advance written certification, attendees' national security clearances may be certified by telephone and followed up in writing. This procedure is required in order to ensure the validity and accuracy of an individual's national security clearance.

4.8 Personnel Security Files.

A. Maintenance. Personnel security files for SS, CS, and NCS (national security) and HR and MR (public trust) positions will be maintained. Files will contain a copy of actions affecting the status of an individual's suitability and security adjudication, and security clearance. Every file will include (as applicable), but not be limited to, the following:

(1) A Request for Waiver of Preappointment Investigative Requirements for CS and HR positions.

(2) A copy of SF-50 or SF-52 (or facsimile of information contained in automated systems for SF-50's and SF-52's) showing designation of position risk or position sensitivity.

(3) Copies of SF-85P or SF-86, Questionnaires for Public Trust or Sensitive Positions.

(4) OPM Certification of Investigation.

(5) Clearance Certificate (for national security clearances).

(6) OPM Case Closing Transmittal forms.

(7) Signed Nondisclosure Agreement SF-312.

(8) Copy of OFI Form 79A, Report of Agency Adjudicative Action.

(9) Copy of Certification of Favorable Determination for a Sensitive, HR, or MR position.

(10) Copy of Certification of Briefing for a Sensitive, HR, or MR position.

(11) Copy of Security Debriefing Acknowledgement (reverse side of SF-312).

(12) Records of requests for investigative files (record or copy of OFI-79 or OFI-79B).

(13) Record of each disclosure of investigative material.

B. Disposition. The disposition of personnel security file records will be handled in accordance with National Archives, General Records Schedule 18; applicable Service and Department Privacy Act Systems Notices; and other pertinent Federal records management regulations.



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