MS 614: Personnel Security Program
Date:
4/18/91Office:
M/SecuritySupersedes:
10/25/88Table of Contents
Table of Contents
1.0 Purpose 2.0 Policy
3.0 Position Sensitivity Designation Process 4.0 Personnel Investigation Process
4.1 Initiating the Clearance Process 4.1.1 Critical Sensitive Position 4.1.2 Non-critical Sensitive Position 4.1.3 Non-sensitive Position 4.2 Other Investigations
4.2.1 Foreign Service Nationals 4.2.2 Foreign National Spouse 4.2.3 U.S. Citizen Hired Abroad 4.3 Exemptions from Investigation Requirements
4.4 Waivers of Pre-appointment Investigative Requirement 4.4.1 Director's Staff and Country Director Positions 4.4.2 all Other Critical Sensitive Positions
4.5 Departure for Overseas Assignment 4.5.1 Foreign National Spouse 4.6 Investigation after Appointment 4.6.1 Position Upgrade 4.6.2 Previously Exempt 4.6.3 Periodic Reinvestigation 4.7 Loyalty Issues
5.0 Standards Used to Adjudicate Clearances 5.1 Security
5.2 Access 5.3 Suitability 6.0 Adjudication Process 6.1 Favorable Decision
6.2 Potentially Unfavorable Decision
6.3 Final Decision
7.0 Accreditation of Access Clearance 7.1 Positions Outside the United States 7.2 Facilities Access
7.3 Other Access 8.0 Training and Assistance 8.1 Classified Information 8.2 Security Awareness 8.3 Personal Safeguards 9.0 Security Files and Records 10.0 Authorities
10.1 Peace Corps Act, Section 22,(22 usc 2519) 10.2 Executive Order 10450 as amended 10.3 Executive Order 12356 as amended
10.4 Office of Management and Budget Circular A-130 10.5 Peace Corps Manual Sections
11.0 Definitions
11.1 Personnel Security Investigation 11.1.1 National Agency Check
11.1.2 National Agency Check and Inquiries 11.1.3 Background Investigation
11.1.4 Periodic Reinvestigation 11.1.5 Spot Check
11.2 Clearance
11.2.1 Security Clearance 11.2.2 Access Clearance 11.2.3 Suitability Clearance 11.3 Position Sensitivity
11.3.1 Critical Sensitive Positions 11.3.2 Non-critical Sensitive Positions 11.3.3 Non-sensitive Positions 12.0 Effective Date
1.0 Purpose
This Manual Section prescribes the procedures and requirements for the Peace Corps' Personnel Security Program. Some of the procedures in this Manual Section are in conjunction with MS 833, ¿Classified Information.¿
2.0 Policy
It is the policy of the Peace Corps that all positions in the Agency will be reviewed, when newly established or changed significantly, and designated as to degree of sensitivity. An investigation of
applicants and incumbents to specific positions will be conducted and the results will be adjudicated against published standards.
When more candidates are considered than there are positions to be filled, an investigation may be conducted of each candidate and used as part of a selection process. A ¿Spot Check¿ will suffice for non-sensitive and non-critical non-sensitive positions, and a pre-employment background investigation will be used for critical sensitive positions.
The process of investigation and adjudication will be conducted in a manner that will protect the
individual's rights, including the right to privacy and due process, while adhering to the primary purpose of the Personnel Security Program to protect the national interest and the mission of the Peace Corps.
3.0 Position Sensitivity Designation Process
The Personnel Security Office will propose sensitivity level designations for all existing, new, and significantly changed positions to the program manager responsible for the position for concurrence.
The Personnel Security Office will periodically provide each program manager and the Director of the Office of Personnel Management (M/PM) with a position sensitivity listing. The position sensitivity listing will be used to determine the level of investigation necessary for each position applicant and incumbent.
4.0 Personnel Investigation Process
The applicant or incumbent of each position in the Peace Corps is subject to investigation. For purposes of this section, this may include experts, consultants, personal service contractors and contractor employees.
The type of investigation conducted will be commensurate with the level of sensitivity of the position.
NOTE: Each applicant or candidate for a position that requires investigation and clearance must be notified of this requirement as a condition of employment or contract with the Peace Corps.
4.1 Initiating the Clearance Process
Once an applicant, candidate or incumbent has been identified, certain personal history and security documents must be obtained from the individual and provided to the Personnel Security Office.
4.1.1 Critical Sensitive Position
Requires one copy of Questionnaire for Sensitive Positions (SF-86) and two copies of Fingerprint Chart (SF-87) (contractors and Volunteers use Fingerprint Chart for Contractors FD 258 instead of SF-87 for fingerprints). These documents will be obtained by the Personnel Office and submitted to the Personnel Security Office at least 30 days prior to the intended incumbency date. If the time limits cited above cannot be met, refer to section 4.4. below for waiver of the pre-appointment investigation requirement.
4.1.2 Non-critical Sensitive Position
Requires one copy of the SF-86, one copy of Application for Federal Employment (SF-171), and two copies of SF- 87 (or FD 258). See note below.
4.1.3 Non-sensitive Position
Requires one copy of Questionnaire for Non- sensitive Positions (SF-85), one copy of SF-171 and two copies of SF-87 (or FD 258). See note below.
NOTE: Documents for appointment to non-critical sensitive or nonsensitive positions must be obtained on or before the incumbency date and the investigation must be initiated no later than 14 days after the incumbency date. Appointees will not be issued a Peace Corps' Identification Card until appropriate documents are completed and submitted to the personnel office.
An individual who has satisfactorily completed the investigation process at one Agency may be subject to reinvestigation upon transfer to another Agency at the discretion of the gaining Agency. If the previous investigation is compatible with the requirements of the new position, and was conducted within the past 60 months, and there has been no significant break in service, a new investigation may not be required.
Returned Peace Corps Volunteers (RPCVs) entering non-sensitive positions may fall into the above category. The Personnel Security Office will determine the applicability of this paragraph to persons meeting the above conditions.
Forms Required Sensitivity Level
SF85 SF86 SF87 SF171 Investigation Initiated
Critical X X X 30 Days Before EOD
Non Critical X X X Within 14 Days After EOD
Non Sensitive X X X Within 14 Days After EOD
4.2 Other Investigations
4.2.1 Foreign Service Nationals
For positions to be filled overseas by foreign nationals, Optional Form 174 (a Department of State form available at U.S. Embassies) must be completed and submitted to the Regional Security Officer at the local U.S. Embassy for investigation and employment certification. Refer to MS 691, ¿Guidelines for
Employment of Foreign Service Nationals by Direct Hire and Detail.¿
4.2.2 Foreign National Spouse
Investigation of a foreign national spouse or intended spouse of a Peace Corps Volunteer or U.S. citizen employee overseas requires use of Optional Form 174, available at a U.S. Embassy. Refer to MS 205 for Volunteers and refer to MS 642 for staff.
4.2.3 U.S. Citizen Hired Abroad
All U.S. citizens hired abroad (other than contract employees) are in the critical sensitive position category and require the documents listed for that category in the chart above. Refer to MS 693, Employment of U.S. Citizens Abroad.
4.3 Exemptions from Investigation Requirements
Executive Order 10450 provides that temporary employees in non-sensitive positions who serve less than 120 cumulative (not necessarily consecutive) days do not require a personnel security investigation if pre-employment screening has been conducted. When a temporary employee becomes permanent, fills a higher sensitivity position, or serves more than 120 days in a position, the investigation requirements of Executive Order 10450 must be met.
4.4 Waivers of Pre-appointment Investigative Requirement
Executive Order 10450 provides that in the event of a national emergency and a finding that filling a critical sensitive position prior to completion of the required investigation is in the national interest, a waiver of the pre-appointment investigation requirement may be granted provided that the investigation is initiated no later than the date of incumbency. Executive Order 10450 requires a waiver be included in Agency records. A copy of every waiver granted will be forwarded to the Personnel Security Office.
4.4.1 Director's Staff and Country Director Positions
Waivers for Country Director positions and critical sensitive positions on the Director's staff, Associate Director and Regional Director positions, may be granted only by the Director. This authority may not be delegated.
4.4.2 All Other Critical Sensitive Positions
Waiver of the pre- appointment investigation requirement for all other critical sensitive positions may be granted by the Associate Director having responsibility for the position, or by the Chief of Staff for less than Country Director overseas positions.
4.5 Departure for Overseas Assignment
All staff personnel departing for overseas assignment must be cleared through the Personnel Security Process prior to departure. If the clearance process has not been completed, waivers to depart must be obtained from the Peace Corps Director for Country Director positions or from the Chief of Staff for all other overseas positions.
Waivers are initiated by the Regional Director, submitted to the Chief of Staff or Director for approval and forwarded to the Personnel Security Office for implementation.
4.5.1 Foreign National Spouse
The appropriate Regional Director may grant a waiver for an alien spouse to join a Country Director or staff member at an overseas Post prior to completion of the required investigation.
4.6 Investigation after Appointment
Certain conditions may require a personnel security investigation of an employee after the initial appointment.
4.6.1 Position Upgrade
If a person moves from a lower to a higher position sensitivity level because the position has been redesignated or because of a promotion or reassignment, he or she may be subject to a higher clearance standard. The Personnel Security Office will notify such persons and assist in obtaining the proper documents for timely investigation.
4.6.2 Previously Exempt
Employees who no longer qualify for exemption because the appointment has been extended or has been converted (temporary to permanent), are subject to investigation. The Personnel Office or Security Office will notify such persons and assist in obtaining the proper documents for timely investigation.
4.6.3 Periodic Reinvestigation
The incumbent in critical sensitive positions are subject to reinvestigation on a 5-year cycle based on the anniversary date of the original investigation.
4.7 Loyalty Issues
Section 22 of the Peace Corps Act and Executive Order 10450 require the Agency to refer any information that raises questions of loyalty to the United States which arises during or after an investigation to the Federal Bureau of Investigation (FBI). The results of the FBI investigation will be provided to the Agency for disposition in accordance with the provisions in Title 5, U.S. Code, section 7532, and Subchapter 5, Chapter 732 of the Federal Personnel Manual (FPM).
5.0 Standards Used to Adjudicate Clearances
5.1 Security
The standards contained in Executive Order 10450 will be used to adjudicate positions under the national security criteria. These standards include:
• Any behavior, activities, or associations which tend to show that the individual is not reliable or trustworthy;
• Any deliberate misrepresentations, falsifications, or omissions of material facts in the Security Questionnaire, personnel security interview, or employment application;
• Any criminal, infamous, dishonest, immoral or notoriously disgraceful conduct, habitual use of intoxicants to excess, drug addiction, or sexual perversion;
• Any illness, including any mental condition of a nature which, in the opinion of competent medical authority, may cause significant defect in the judgment or reliability of the employee, with due regard to the transient or continuing effect of the illness and the medical findings in such case;
• Any facts which furnish reason to believe that the individual may be subjected to coercion, influence, or pressure which may cause him or her to act contrary to the best interests of the national security
• Commission of any act of sabotage, espionage, treason, or sedition, or attempts of threat or preparation thereof, or conspiring with, or aiding or abetting another to commit or attempt to commit any act of sabotage, espionage, treason, or sedition;
• Establishing or continuing a sympathetic association with a saboteur, spy, traitor, seditionist, anarchist, or revolutionist, or with an espionage or other secret agent or representative of a foreign nation whose interest may be inimical to the interests of the United States or with any person who advocates the use of violence to overthrow the government of the United States or the alteration of the form of government of the United States, by unconstitutional means;
• Advocacy of use of force or violence to overthrow the government of the United States or the alteration of the form of government of the United States by unconstitutional means;
• Knowing membership with specific intent of furthering the aims of, or adherence to and active participation in, any foreign or domestic organization, association, movement, group, or
combinations of persons (hereinafter referred to as organizations) which unlawfully advocates or practices the commission of acts of force or violence to prevent others from exercising their rights
under the Constitution or laws of the United States or of any State, or which seeks to overthrow the Government of the United States or any State or subdivision thereof by unlawful means;
• Intentional, unauthorized, disclosure to any person of security information, or of other information disclosure of which is prohibited by law, or willful violation or disregard of security regulations;
• Performing or attempting to perform duties, or otherwise acting, so as to serve the interests of another government in preference to the interests of the United States; or
• Refusal by the individual, upon the ground of constitutional privilege against self-incrimination, to testify before a congressional committee regarding charges of alleged disloyalty or other
misconduct.
5.2 Access
The standards contained in Executive Order 12356 will be used to adjudicate positions under the access to classified information criteria. This standard includes the determination of need and trustworthiness.
5.3 Suitability
The standards contained in Subchapter 3 of Federal Personnel Manual (FPM) Chapter 731 will be used to adjudicate positions under suitability for employment by the Peace Corps. These standards include:
• Delinquency or misconduct in prior employment;
• Criminal, dishonest, infamous, or notoriously disgraceful conduct;
• Intentional false statement or deception or fraud in examination or appointment of a material fact;
• Habitual use of intoxicating beverages to excess;
• Abuse of narcotics, drugs, or other controlled substances;
• Reasonable doubt of loyalty to the United States; or
• Statutory disqualification.
6.0 Adjudication Process
6.1 Favorable Decision
The Personnel Security Office will review the data from a completed investigation and will apply the standards cited in paragraph 5.1 herein. If a favorable decision is clearly warranted, the Personnel Office, appropriate program manager and U.S. Embassy Regional Security Officer for overseas staff will be notified in writing.
6.2 Potentially Unfavorable Decision
If the data in the completed investigation indicates the subject may not meet the standards, the Personnel Security Office will analyze the data, and the standard(s) not met, and will present the information to the subject of the investigation, orally or in writing, or both.
The subject will be given an opportunity to be represented by a person of his or her choice, at his or her own cost, and an opportunity to refute, explain, or mitigate the information presented. A reasonable time limit may be imposed on the period allowed for response.
The Personnel Security Office will consider the investigative data, the subject's response, if any, and the special considerations outlined in Subchapter 4, Federal Personnel Manual (FPM) Chapter 731, and make a recommendation to appropriate Agency officials, including the General Counsel (D/GC) if loyalty or legal issues are present. Issues of suitability and qualification for employment in the Peace Corps will be presented to the Personnel Office for decision.
6.3 Final Decision
The final decision will be provided in writing to the subject and the appropriate program manager, with a notice of any appeal rights.
7.0 Accreditation of Access Clearance
The Personnel Security Office has the responsibility for "accrediting" Peace Corps employees when access clearance certification is required.
7.1 Positions Outside the United States
The Personnel Security Office will notify the appropriate U.S. Embassy Regional Security Officer (RSO) of access clearance. Clearance notification to the RSO is required for unescorted access to the Embassy and access to Department of State controlled classified information.
7.2 Facilities Access
Many government facilities restrict access within the facility. Peace Corps employees requiring access to other Agency facilities that impose restriction on access should notify the Personnel Security Office for accreditation.
7.3 Other Access
Some agencies may require accreditation of an employee prior to attendance at meetings, seminars, or briefings that are classified. The Personnel Security Office should be notified by the employee or Agency requiring such clearance.
8.0 Training and Assistance
The Personnel Security Staff provides individual and group training and assistance to domestic and overseas staff in matters of personal, document and information safeguards, and in security awareness matters.
8.1 Classified Information
All persons who have access to national security classified information must receive periodic training on the proper receipt, handling, storage, dissemination, and destruction of such material. The Personnel Security Office will provide this training.
Training for domestic staff will be conducted as soon as possible after an individual has received notice of access clearance approval. Training for overseas staff will be provided during regularly scheduled overseas staff development programs. Staff hired overseas should request the U.S. Embassy Regional Security Officer to provide classified document handling training.
8.2 Security Awareness
National Security Decision Directive 197 (NSDD 197) requires all Executive branch agencies to provide a security awareness briefing to alert employees to any hostile intelligence threat, especially those agencies involved with war plans, foreign affairs, and counterintelligence. The Personnel Security Office will provide a security awareness briefing for Agency employees with primary focus on overseas staff. NSDD 197 also requires every employee who has contact with certain country citizens to report such contact.
Domestic employees will report such contact to the Peace Corps Personnel Security Office. Overseas staff will report such contact to the U.S. Embassy Regional Security Officer. The "criteria countries" will be identified during awareness briefings.
8.3 Personal Safeguards
Travel in foreign countries and the nature of assignments outside the United States pose concern for the personal safety of Peace Corps staff in host country assignments. In cooperation with the Department of State's Bureau of Diplomatic Security, briefing, training and exercises will be conducted to acquaint overseas staff members with those physical locations (e.g., markets, beaches, public transportation depots, etc.) and types of conduct by others that might present a threat to personal safety.
Matters pertaining to fire and vehicle safety, health, theft of personal or government property, waste, fraud or abuse, should be be referred to such offices in Peace Corps that are assigned responsibility under the functional statements in the Peace Corps Manual.
9.0 Security Files and Records
Investigative information contained in the security files is protected against unauthorized disclosure.
Information in the files will only be released under the Provisions of the Privacy Act of 1974 (5 USC 552a) and generally include releases:
• to another government Agency conducting an investigation that is authorized and compatible with the authority under which the information was originally collected;
• to another authorized Agency conducting a criminal investigation;
• under a court order;
• to the Information Security Oversight Office or Office of Personnel Management as part of a required program oversight function;
• to Peace Corps officials with a need to know; or
• to the subject of the investigation.
10.0 Authorities
10.1 Peace Corps Act, Section 22,(22 USC 2519),
Peace Corps Act, Section 22,(22 USC 2519), states that, ¿All persons employed or assigned to duties under this Act shall be investigated to insure that the employment or assignment is consistent with the national interest in accordance with standards and procedures established by the President. If an investigation made pursuant to this section develops any data reflecting that the person who is the subject of the investigation is of questionable loyalty or is a questionable security risk, the investigating Agency shall refer the matter to the Federal Bureau of Investigation for the conduct of a full field investigation. The results of that full
Peace Corps Act, Section 22,(22 USC 2519), states that, ¿All persons employed or assigned to duties under this Act shall be investigated to insure that the employment or assignment is consistent with the national interest in accordance with standards and procedures established by the President. If an investigation made pursuant to this section develops any data reflecting that the person who is the subject of the investigation is of questionable loyalty or is a questionable security risk, the investigating Agency shall refer the matter to the Federal Bureau of Investigation for the conduct of a full field investigation. The results of that full