DHS DIRECTIVES INSTRUCTION HANDBOOK DHS INSTRUCTION HANDBOOK 121-01-007 THE DEPARTMENT OF HOMELAND SECURITY PERSONNEL SUITABILITY AND SECURITY PROGRAM APPROVAL DATE: JUNE 2009 DEPARTMENT OF HOMELAND SECURITY OFFICE OF THE CHIEF SECURITY OFFICER Instruction # 112-01-007 Revision # 00 DHS DIRECTIVES INSTRUCTION HANDBOOK TABLE OF CONTENTS DHS INSTRUCTION HANDBOOK 121-01-007 THE DEPARTMENT OF HOMELAND SECURITY PERSONNEL SUITABILITY AND SECURITY PROGRAM ......................... i TABLE OF CONTENTS .................................................................................................. ii CHAPTER I, General ...................................................................................................... 1 CHAPTER 2, Federal Employee/Applicant Suitability Requirements ....................... 8 1. Suitability Risk Assessment: ................................................................................. 8 2. Suitability Investigative Requirements: ................................................................. 9 3. Suitability Adjudicative Criteria: ............................................................................ 9 CHAPTER 3, Excepted Service Federal Employee and Contractor Employee Fitness Requirements ................................................................................................. 14 1. Fitness Risk Assessment: .................................................................................. 14 2. Fitness Investigative Requirements: ................................................................... 15 3. Fitness Adjudicative Criteria: .............................................................................. 15 CHAPTER 4, Security Clearance Requirements ....................................................... 20 1. Position Sensitivity Designation: ......................................................................... 20 2. Investigative Requirements: ............................................................................... 21 3. Access to Classified Information: ........................................................................ 23 CHAPTER 5, State, Local, and Private Sector Program Requirements .................. 25 1. Eligibility for State, Local, and Private Sector: .................................................... 25 2. Eligibility for State and Local Personnel to Gain Top Secret Clearances and/or Access to SCI: .................................................................................................... 25 3. Specific Criteria for Granting Top Secret Clearances and/or Access to SCI: ..... 26 4. Extended Absences: ........................................................................................... 27 5. Denial or Revocation of a Security Clearance: ................................................... 27 6. Reinvestigations: ................................................................................................ 27 CHAPTER 6, Suspension, Denial, and Revocation of Access to Classified Information .................................................................................................................. 28 1. Denial or Revocation of Security Clearance: ...................................................... 28 2. Deciding Authority: ............................................................................................. 28 3. Notice of Determination: ..................................................................................... 29 4. Notice of Review: ................................................................................................ 31 5. Suspension of Access to Classified Information: ................................................ 32 CHAPTER 7, General Personnel Security Program Requirements ......................... 34 1. General Personnel Security Program Requirements: ......................................... 34 APPENDIX A, Investigation Matrix ........................................................................... A-1 APPENDIX B, Definitions .......................................................................................... B-1 ii Instruction # 112-01-007 Revision # 00 CHAPTER 1, GENERAL I. Purpose This Instruction establishes procedures, program responsibilities, minimum standards, and reporting protocols for the Department of Homeland Security (DHS) Personnel Suitability and Security Program. It does not prohibit any DHS Component from exceeding the requirements. This Instruction implements the authority of the Chief Security Officer (CSO) under DHS Directive 121-01. The Office of the Chief Security Officer (OCSO) is actively involved in the multiple U.S. Government Executive Branch initiatives to revise and consolidate the Personnel Suitability and Security programs. Accordingly, this Instruction will be revised as new Executive Orders and implementing guidance are issued. II. Scope This Instruction applies throughout DHS (except where exempt by statute), to DHS covered individuals (e.g., federal employees, applicants, excepted service federal employees, and contractor employees) providing support to DHS and who require unescorted access to DHS-owned facilities, DHS-controlled facilities, or commercial facilities operating on behalf of DHS; access to DHS information technology (IT) systems and the systems’ data; or access to national security information. This Instruction defines the minimum standards for the DHS Personnel Suitability and Security Program, but does not prohibit any Component from exceeding these requirements based on mission or potential for adverse impact on National Security. Requests to lower any of the minimum standards set forth in this Instruction must be approved by the DHS CSO. DHS Management Directive 11048, Suspension, Denial, and Revocation of Access to Classified Information and Management Directive 11050.2 , Personnel Security and Suitability Program are hereby canceled. (Note: This Instruction does not address procedures for implementing Homeland Security Presidential Directive (HSPD) 12 - Policy for a Common Identification Standard for Federal Employees and Contractors. Procedures for HSPD -12 will be the subject of a separate Instruction.) III. Authorities A. Title 5, United States Code, Section 552(a), “Records maintained on individuals” [The Privacy Act of 1974, as amended] B. Title 5, United States Code (U.S.C.), Section 7532, “Suspension and 1 Instruction # 121-01-007 Revision # 00 removal” C. Executive Order 10450, as amended, “Security Requirements for Government Employment,” April 27, 1953 D. Executive Order 10577, as amended, “Amending the Civil Service Rules and Authorizing a New Appointment System for the Competitive Service,” November 22, 1954 E. Executive Order 12829, as amended, “National Industrial Security Program”, January 6, 1993 F. Executive Order 12958, as amended, “Classified National Security Information,” April 17, 1995 G. Executive Order 12968, as amended, “Access to Classified Information,” August 2, 1995 H. Executive Order 13311, as amended, “Homeland Security Information Sharing,” July 29, 2003 I. Executive Order 13467, as amended, “Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified National Security Information,” June 30, 2008 J. Executive Order 13488, “Granting Reciprocity on Excepted Service and Federal Contractor Employee Fitness and Reinvestigating Individuals in Positions of Public Trust,” January 16, 2009 K. Title 5, Code of Federal Regulations, Part 731, “Suitability” L. Title 5, Code of Federal Regulations, Part 732, “National Security Positions” M. Title 5, Code of Federal Regulations, Part 736, “Personnel Investigations” N. Title 5, Code of Federal Regulations, Part 5, “Regulations, Investigation and Enforcement (Rule V)” O. Title 5, Code of Federal Regulations, Part 752, “Adverse Actions” P. Title 6, Code of Federal Regulations, Section 7.10, “Authority of the Chief Security Officer, Office of Security” Q. Title 32, Code of Federal Regulations, Part 147, “Adjudicative Guidelines for Determining Eligibility for Access to Classified Information” 2 Instruction # 121-01-007 Revision # 00 R. Federal Acquisition Regulation (FAR), Part 4.4, “Safeguarding Classified Information within Industry” S. Homeland Security Acquisition Regulation (HSAR), Part 3004.470, Security requirements for access to unclassified facilities, Information Technology resources and sensitive information” T. National Security Affairs memorandum, “Adjudicative Guidelines for Determining Eligibility for Access to Classified Information,” December 29, 2005 U. Delegation of Authorities from the Assistant Deputy Director of National Intelligence for Security to Chief Security Officer, Department of Homeland Security, March 13, 2006 V. DHS Delegation 0102, “Delegation to Deputy Secretary – Procedures for Access to Classified Information” W. DHS-Delegation 8001, “Delegation to the Chief, Office of Security, for Security Clearances of DHS Personnel” X. DHS Sensitive Systems Handbook 4300A, Version 5.5, September 30, 2007 Y. DHS Sensitive Systems Policy Directive 4300A, September 20, 2007 IV. Definitions Personnel security terms and definitions pertaining to this Instruction are located in Appendix B. V. Responsibilities A. The Chief, Personnel Security Division, Office of Security, is responsible for: 1. Issuing Department-wide policy for the management and operation of the Personnel Suitability and Security Program. 2. Evaluating and reporting effectiveness