Suitability Security Reform

1
Suitability / Security Reform

• CDR Jacqueline Rodrigue
• LCDR Helen Hunter
• 1 JUN 2009

2
Objectives

• Define types and scopes of background
  investigations conducted by OPM, as they pertain
  to current Commissioned Corps requirements
• Describe the Electronic Questionnaire for
  Investigative Processing (eQIP) system
• Discuss the adjudication and security clearance
  process based on the review of a completed
  background investigation

3
Types and Levels of Background Investigations

• LEVEL 1 Non-Sensitive Position (Low Risk)
• NACI National Agency Check and Inquiries
• LEVEL 2 National Security Position
  (Confidential/Secret)
• ANACI Access National Agency Check, Inquiries,
  and Credit
• NACLC- National Agency Check with Law and Credit
• LEVEL 3 National Security Position (Top Secret)
• SSBI Single Scope Background Investigation
• LEVEL 4 National Security Position (Top Secret)
• SCI- Special Compartmented Information
• LEVEL 5- Sensitive (Moderate Risk/Public Trust)
• LBI Limited Background Investigation
• MBI Minimum Background Investigation
• LEVEL 6- Sensitive (High Risk/Public Trust)
• BI Background Investigation

4
Guidelines for Access to Classified Information
Include

• Allegiance to the United States
• Foreign Influence
• Foreign Preference
• Sexual Behavior
• Personal Conduct
• Financial Considerations
• Alcohol consumption
• Drug Involvement
• Psychological Conditions
• Criminal Conduct
• Handling Protected Information
• Outside Activities
• Use of Technology Systems

5
What is Suitability?

• Suitability is the adherence to 5 CFR 731.202
• Misconduct or Negligence
• Criminal or Dishonest Conduct
• Material Intentional False Statement or Fraud in
  Examination or Appointment
• Refusal to Furnish Testimony
• Alcohol Abuse
• Illegal use of Narcotics, Drugs, or other
  controlled Substances.
• Knowing and Willful Engagement in Acts or
  Activities Designed to Overthrow the US
  Government by Force
• An Statutory or Regulatory Bar

6
Mitigating Factors for Suitability

• 1) Nature of the Position
• 2) Nature and Seriousness of the Conduct
• 3) Circumstances Surrounding the Conduct
• 4) Recency of the Conduct
• 5) Age at the time of Conduct
• 6) Societal Conditions
• 7) Rehabilitation Efforts

7
Background Investigation Process
8
Suitability and Security Screening Phase I

• An eQIP account is initiated for an ANACI, secret
  level 2 with child care clearance investigation
  request.
• Instructions are sent to the officer including
  login information and list of attachments needed.
• Technical assistance to officers as needed

9
Phase II

• Officer submits required documents and
  attachments to OCCO
• Security and Suitability Team reviews the SF86
  questionnaire for completeness
• If follow up information is required, the
  Security and Suitability Team will either reject
  the case back to the officer or request
  additional attachments, i.e. court documents,
  written statement, etc.

10
Phase II cont.

• Once review requirements are met all attachments
  will be scanned and uploaded to eQIP
• Attachments include
• Fingerprint Card
• eQIP signature pages (CERT, REL, MEL)
• OF 306 Declaration of Federal Employment
• HHS Credit Release
• OF-612 Optional Application for Federal
  Employment
• Any additional supporting documents (court,
  financial)

11
Phase II cont.

• Final review is completed and investigation is
  forwarded to OSSI (Office of Security and
  Strategic Information for the Department of
  Health and Human Services).
• OSSI will conduct the final review of the
  information for security purposes
• If security issues, OSSI will return to OCCO for
  follow up with the officer
• If no security concerns, OSSI will forward
  complete eQIP to OPM (Office of Personnel
  Management)

12
Phase III-Adjudication

• When the background investigation is complete,
  OPM returns investigation results to OSSI.
• Two OCCO Security Team Members are assigned to
  OSSI to adjudicate background investigations for
  all Commissioned Officers.

13
Phase III-Adjudication cont.

• A Favorable Suitability Determination will be
  issued for level 2 eligibility.
• If there are issues that cannot be mitigated,
  then the case will be sent to OCCO to make a
  final recommendation based on Adjudication
  Guidelines.
• After the Security and Suitability Team reviews
  for suitability and finds an officer to have an
  unsuitable background investigation, the Director
  of DCCA (Division of Commissioned Corps
  Assignments) and the Adverse Actions Officer are
  notified in writing with a summary report of the
  issues.

14
Phase IV-Final Processing

• Certificates of Investigation (COI) for favorably
  adjudicated cases are forwarded to OCCO
• The OCCO security team updates the database
  (Direct Access) with the updated information and
  forwards the original to the officers eOPF.
• The officer receives an email notice when the COI
  has been scanned to their eOPF.

15
Phase V-Clearance for Access to Classified
Information

• All officers are adjudicated for access to Level
  2 (secret) clearance, but an actual clearance is
  not issued without a billet which requires access
  to classified information.
• Requires the submission of the HHS-207 Request
  for Security Clearance.
• HHS-207 must be signed by both the supervisor
  and the officer, and must have concurrence by the
  agencys Personnel Security Representative.

16
Phase V-Clearance for Access to Classified
Information

• Completed HHS-207 should be faxed to the
  attention of CAPT Minter or LCDR Hunter at
  240-453-6127 or mailed to
• OCCO/DCCA
• Attn Security Team
• 1101 Wootton Pkwy
• Plaza Level, Suite 100
• Rockvile, MD 20852

17
Phase V-Clearance for Access to Classified
Information

• HHS-207 will be reviewed/concurred by the OCCO
  Security and Suitability Team provided the
  justification is adequate.
• HHS-207 is forwarded to OSSI for processing.
• If the ANACI/SSBI is completed and favorably
  adjudicated, the clearance can be granted.
• If the ANACI/SSBI is not completed, the clearance
  cannot be granted. In rare occasions, an interim
  clearance can be granted if the background
  investigation is scheduled and fingerprint
  results have been received with no issues.

18
Phase V-Clearance for Access to Classified
Information

• The officers agency PSR (Personnel Security
  Representative) will complete the SF-312 Security
  Briefing. A clearance is not effective until the
  security briefing has been completed and signed.
• Security briefings are required by the officers
  agency annually. It is the officers
  responsibility to remind the agency personnel
  security representative when their annual
  briefing is due.

19
Phase V-Clearance for Access to Classified
Information

• The agency should forward a copy of the SF-312 to
  the OCCO Security and Suitability Team when
  completed.

20
Policies and Directives

• Commissioned Corps Policy CCI 231.04
• 5 CFR 731 -suitability
• 5 CFR 732 access to classified information
• HSPD-12-PIV Badges, Building Access
• HSPD-7-Computer Access
• EO 10450-Security Requirements for Government
  Employment
• EO 12968-National Industrial Security Program
• 25 USC 3207 Character Investigations
• 42USC13041 Requirement for Background Checks
• 42 USC 216-Regulations (appointments,
  retirements, promotions, terminations, etc)
• Commissioned Corps Personnel Manual (CCPM)
• CC43.7.1 - Termination of Officers Commissions
  in the Regular and Reserve Corps without the
  consent of Officers Involved
• CC43.8.1 Retirement of PHS Commissioned officers
• CC 23.8.4 Involuntary Retirement After 20 years
  of Service
• CC29.3.3-Domestic Violence Treatment

21
Contact Information for OCCO Security Team

• For Investigation Information
• Fax [phone]
• PHSsecurity_at_hhs.gov
• CAPT Theresa Minter
• Security Team Lead
• Theresa.Minter_at_hhs.gov
• 240-453-6012
• LCDR Helen Hunter
• Helen.Hunter_at_hhs.gov
• 240-453-6007
• LTJG Tracy Smith
• Tracy.Smith_at_hhs.gov
• 240-453-6024

• For Security Clearance Questions
• CDR Jacqueline Rodrigue
• Jacqueline.Rodrigue_at_hhs.gov
• 202-205-4879
• CDR Peter Martineau
• Peter.Martineau_at_hhs.gov
• 202-205-3757