Transcript Office of Security

Personnel Background
Investigations
Introduction
The interests of the national security
require that all persons privileged to
be employed in the departments and
agencies of the government shall be
reliable, trustworthy, of good
conduct and character, and of
complete and unswerving loyalty to
the United States.
Introduction
The appointment of each civilian
employee in any department or
agency of the government is subject
to investigation.
The scope of the investigation will
vary, depending on the nature of the
position and the degree of harm that
an individual in that position could
cause.
Timing of Investigations
Investigations should be initiated
before appointment or, at most,
within 14 calendar days of
placement in the position. If, at
any time, it is determined that a
required investigation has never
been conducted for the initial
appointment, the appropriate
required investigation must be
conducted.
Risk Designation System
The risk designation system
establishes what type of
investigation is required and how
closely an individual is screened for
a position.
Risk Designation System
As the level of authority and
responsibility of a position become
greater, character and conduct
become more significant in deciding
whether employment or continued
employment would protect the
integrity and promote the efficiency
of the Federal service.
Designating Position Risk
The agency determines the degree of
risk that a position poses to the
agency or program.
Agencies are responsible for
designating each competitive service
position based on the documented
duties and responsibilities of the
position.
Position Risk
Each position will be designated at
the low, moderate or high risk level
depending on the position’s potential
for adverse impact to the integrity
and efficiency of the service (5 CFR
731.106).
Position Risk
The minimum level of investigation
required for entry into the Federal
service is the National Agency Check
and Inquiry (NACI) investigation.
Positions at the High and Moderate
risk levels are referred to as “Public
Trust” positions.
Investigative Requirements
• The following are the required
minimum levels:
• Low Risk –
 National Agency Check with Inquiries
• Moderate Risk
 Minimum Background Investigation
• High Risk
 Background Investigation
Low Risk
 Positions that involve duties and
responsibilities with limited
impact on the integrity and
efficiency of the service.
• Investigation coverage
• Employment, education, law – 5 years
• Residence – 3 years
• References
Moderate Risk
 Positions with the potential for
moderate to serious impact on the
integrity and efficiency of the
service.
• Investigation coverage
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Personal Interview
Residence – 3 years
Employment, Education, Law – 5 years
Credit – 7 years
References
High Risk
 Positions that have the potential
for exceptionally serious impact
involving duties especially critical
to the agency.
• Investigation coverage
• Personal Interview
• Residence – 3 years
• Employment, education, law, court records – 5
years
• Credit – 7 years
• References
Change in Position
All employees moving to a new
position at a higher risk level than
the risk level of the position they left
must meet the investigative
requirements of the new position.
Reinvestigations
• Low Risk
 No reinvestigation requirement.
• Moderate Risk.
 Only applicable to police officer
positions and conducted every 5 years.
• High Risk
 Conducted every 5 years.
Re-employment
If there are no suitability issues, and
there has not been a break in service
of longer than 24 months, a new
investigation is not necessary unless
it is required because of a higher risk
level.
Suitability
Suitability refers to identifiable
character traits and conduct
sufficient to decide whether an
individual is likely or not likely to be
able to carry out the duties of a
Federal job with appropriate integrity,
efficiency, and effectiveness.
Suitability
Suitability is distinguishable from a
person’s ability to fulfill the
qualification requirements of a job,
as measured by experience,
education, knowledge, and skills.
Suitability
Each issue discovered during the
investigation is assigned one of four
rankings based on its seriousness and
potential as a basis for
disqualification.
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A = minor
B = moderate
C = substantial
D = major
Suitability Factors
Any of the following factors may be
considered a basis for finding an
individual unsuitable.
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Misconduct or negligence in employment
Criminal or dishonest conduct
Material, intentional false statement or
deception or fraud in examination or
appointment
Refusal to furnish testimony as required
Suitability Factors
 Alcohol abuse of a nature and duration which
suggests that the applicant or appointee would
be prevented from performing the duties of the
position in question or would constitute a
direct threat to the property or safety of others
 Illegal use of narcotics, drugs, or other
controlled substances
 Knowing and willful engagement in acts or
activities designed to overthrow the U.S.
government by force
Adjudication
A process that requires an
examination of a sufficient amount of
information regarding an individual
to determine whether the individual
is suitable for federal employment.
Adjudication
• The initial task of the Adjudicator is
to determine whether the conduct or
issues in a case are potentially
actionable.
• Each case is evaluated on its own
merits with reference to impact on
the integrity and efficiency of the
service.
Adjudication
The objective of the suitability
Adjudicator is to establish a
reasonable expectation that
employment or continued
employment of the person either
would or would not protect the
integrity and promote the efficiency
of the service.
Adjudication
When there is reasonable
expectation that a person's
employment would not promote the
efficiency and effectiveness of the
service, the person must be found
unsuitable.
Adjudication
This expectation is established when
an adverse nexus or connection can
be shown between the conduct in
question and the efficient service of
the person or others.
Adjudication
OPM has identified individual issues
and characterized each according to
seriousness and its potential as a
basis for disqualification.
Adjudication
The OPM system is intended to
provide objectivity and consistency
in adjudicative decisions, but each
case must be judged on its own
merits.
Adjudication
Basic suitability adjudication is the
primary level of adjudication and
involves an assessment of conduct
as it impacts on a person's suitability
for any position in the government.
It involves adjudication of issues in
and of themselves.
Position Risk Adjudication
Conduct not disqualifying for
suitability at the Basic Suitability
Adjudication level may be
disqualifying when adjudicated in
terms of the public trust risk level of
the position. The higher the level of
public trust, the more serious an
issue becomes.
Position Risk Adjudication
This process involves upgrading the
seriousness of issues to reflect the
greater potential for damage at a
higher risk level.
POSITION PERFORMANCE ADJUDICATION
After basic suitability and position
risk, the next step in the adjudicative
process is Position Performance
Adjudication (Nexus).
POSITION PERFORMANCE ADJUDICATION
This process involves an
assessment of the present or
potential impact of the conduct or
issues on the person's efficient
service in the position.
Adjudication Authority
• OPM retains adjudicative authority
when there is evidence of:
 Material, intentional false statement or
deception or fraud in examination or
appointment
 Refusal to furnish testimony as required
 Any serious issue case in which OPM
determines an across agency debarment is
warranted.
Adjudication Authority
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The VA Security and Investigations
Center adjudicates all moderate and
high risk investigations for
appointees and all contractor
positions within the VA.
Local HR offices adjudicate all low
risk employee positions.
Suitability Actions
• A suitability action includes one or
more of the following:
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Cancellation of eligibilities
Debarment
Removal
Other adverse action
Personal Information
The only persons authorized to see
the personal information provided on
investigative forms are
Administrative, Human Resource,
Personnel Security, Suitability, and/or
Investigations professionals who
have been investigated at the
appropriate level and who have a
genuine and demonstrated need for
access to the information.
Personal Information
Investigative results will only be
available to personnel security,
suitability, and Investigations
professionals and HR officials who
have been investigated at the
appropriate level and who have a
genuine and demonstrated need for
access to the information.
Employee Responsibilities
• The background investigation is a job
requirement (under 5 CFR 731 or 732).
• Providing the information is voluntary, but
if you choose not to provide the required
information, you will not meet the
requirements of the position and will not
be further considered.
• If already employed, the appointment will
be terminated.
Employee Responsibilities
• Applicants, appointees, and
employees are required by 5 CFR 5.4
to furnish information and materials
to OPM or its representatives when
required to carry out a suitability
program responsibility.
Employee Responsibilities
• Employees may be contacted during
the adjudication process to provide
clarification or to attempt to resolve
issues discovered during the
investigation.
Employee Responsibilities
• Full cooperation is essential in every
step of the background investigation
process.
• Questions regarding the process can
be directed to your local HR office or
the Security and Investigations
Center.