Personnel Background Investigations

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Personnel Background Investigations
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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.

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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.

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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.

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Risk Designation System

• The risk designation system establishes what
  type of investigation is required and how closely
  an individual is screened for a position.

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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.

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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.

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Position Risk

• Each position will be designated at the low,
  moderate or high risk level depending on the
  positions potential for adverse impact to the
  integrity and efficiency of the service (5 CFR
  731.106).

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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.

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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

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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

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Moderate Risk

• Positions with the potential for moderate to
  serious impact on the integrity and efficiency of
  the service.
• Investigation coverage
• Personal Interview
• Residence 3 years
• Employment, Education, Law 5 years
• Credit 7 years
• References

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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

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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.

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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.

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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.

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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.

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Suitability

• Suitability is distinguishable from a persons
  ability to fulfill the qualification requirements
  of a job, as measured by experience, education,
  knowledge, and skills.

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Suitability

• Each issue discovered during the investigation
  is assigned one of four rankings based on its
  seriousness and potential as a basis for
  disqualification.
• A minor
• B moderate
• C substantial
• D major

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Suitability Factors

• Any of the following factors may be considered a
  basis for finding an individual unsuitable.
• 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

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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

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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.

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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.

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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.

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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.

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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.

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Adjudication

• OPM has identified individual issues and
  characterized each according to seriousness and
  its potential as a basis for disqualification.

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Adjudication

• The OPM system is intended to provide
  objectivity and consistency in adjudicative
  decisions, but each case must be judged on its
  own merits.

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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.

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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.

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Position Risk Adjudication

• This process involves upgrading the seriousness
  of issues to reflect the greater potential for
  damage at a higher risk level.

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POSITION PERFORMANCE ADJUDICATION

• After basic suitability and position risk, the
  next step in the adjudicative process is Position
  Performance Adjudication (Nexus).

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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.

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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.

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Adjudication Authority

• 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.

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Suitability Actions

• A suitability action includes one or more of the
  following
• Cancellation of eligibilities
• Debarment
• Removal
• Other adverse action

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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.

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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.

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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.

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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.

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Employee Responsibilities

• Employees may be contacted during the
  adjudication process to provide clarification or
  to attempt to resolve issues discovered during
  the investigation.

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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.