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CHAPTER 7. ADMINISTRATIVE TERMINATION OF SECURITY CLEARANCES, DOWNGRADING OF SECURITY CLEARANCES, OR TRANSFER OF SECURITY CLEARANCES WITHIN THE USGS

1. General. A security clearance may be downgraded or terminated for administrative reasons unrelated to an adverse security determination (see Chapter 5.1.C, Debriefings). A security clearance may also be transferred from one region, discipline, or office within the USGS to another region, discipline, or office. The Regional Security Officer will advise the Security Management Office whenever downgrading of a security clearance, termination of a security clearance, or transfer of a security clearance within the USGS is appropriate. Also, whenever there is any administrative action affecting a security clearance, the Regional Security Officer will notify the official supervisor of record and the individual of the action.

2. Termination of National Security Information Clearance. When access to classified information is no longer needed in connection with the performance of official duties, the clearance must be withdrawn. In such cases, the Regional Security Officer must obtain the appropriate debriefing acknowledgements from the individual; execute the back side of the USGS National Security Information Certification (Figure 6-1), USGS National Security Information Recertification (Figure 6-2), USGS Notification of DOE “Q” or “L” Security Clearance Investigation Completion (Figure 6-3), or USGS Notification of DOE “Q” or “L” Security Clearance Update Investigation Completion (Figure 6-4) indicating the reason for the withdrawal; and forward these documents to the Security Management Office. The official supervisor of record must initiate a personnel action to change the position sensitivity designation in the Federal Personnel Payroll System (FPPS) and the employee’s Official Personnel Folder.

3. Downgrading of National Security Information. When access to a particular level of classified information is no longer required in the performance of official duties, the clearance will be downgraded to a classification level still justified by official duties. To initiate a downgrade action, the official supervisor of record will notify the employee and the Regional Security Officer of the downgrade action. The Regional Security Officer will execute the back side of the USGS National Security Information Clearance Certification (Figure 6-1), USGS National Security Information Clearance Recertification (Figure 6-2), USGS Notification of DOE “Q” or “L” Security Clearance Investigation Completion (Figure 6-3), or USGS Notification of DOE “Q” or “L” Security Clearance Update Investigation Completion (Figure 6-4) indicating the downgrade action and forward this certification to the Security Management Office. A Form 9–3056, Personnel Security Action Request, Figure 2-2, is also required to provide the justification for the new level of security clearance. The 9-3056 should be signed by both the individual’s official supervisor of record and Regional Security Officer. A new clearance certificate will be issued reflecting the required clearance level. The supervisor of record must initiate a personnel action to change the position sensitivity designated in FPPS and the employee’s Official Personnel Folder when he/she receives the new certificate reflecting the new classification level.

4. Transfer of Security Clearances within the USGS. When a USGS employee who possesses a security clearance transfers from one position to another position within the USGS, the security clearance for that employee may be transferred if the new position requires a security clearance. To transfer the security clearance, the following must be accomplished:

A. When the employee who possesses the security clearance transfers, the official supervisor of record who requested the original clearance must notify his/her Regional Security Officer of the transfer. The Regional Security Officer must execute the back side (Section B) of the USGS National Security Information Certification (Figure 6-1), USGS National Security Information Recertification (Figure 6-2), USGS Notification of DOE “Q” or “L” Security Clearance Investigation Completion (Figure 6-3), or USGS Notification of DOE “Q” or “L” Security Clearance Update Investigation Completion (Figure 6-4), indicating that the employee has been transferred to another office, and/or discipline, and/or region; provide the name of the office, and/or discipline, and/or region to which the employee has been transferred; and provide the completed certification to the Security Management Office. If the employee who is transferring remains in the same region, the Regional Security Officer for that region must contact the acquiring official supervisor of record to determine if the new position requires a security clearance. If the employee is transferring to a new region, the Security Management Office will contact the acquiring Regional Security Officer to determine if the new position requires a security clearance. If the position requires a security clearance, the following should be accomplished:

(1) If the employee is only transferring to another office within the same region and discipline, the Regional Security Officer should complete the following:

(a) Complete a 9-3056, providing a new justification and appropriate signatures.

(b) A copy of the 9-3056 should be forwarded to the Security Management Office for inclusion in the individual’s official security file.

(c) A copy of the individual’s original clearance certification will be provided by the Security Management Office to the Regional Security Officer who should forward a copy to the acquiring supervisor.

(2) If the employee is transferring to another discipline within the same region, the Regional Security Officer should complete the following:

(a) Complete a 9-3056, providing a new justification and appropriate signatures.

(b) A copy of the 9-3056 should be forwarded to the Security Management Office for inclusion in the individual’s official security file.

(c) The Security Management Office will change the discipline information contained in the PSCS.

(d) A copy of the individual’s original clearance certification will be provided by the Security Management Office to the Regional Security Officer who should forward a copy to the acquiring official supervisor of record. If the individual is transferring into or out of the Geography Discipline, a new certification listing the new region will be completed by the Security Management Office and forwarded to the acquiring Regional Security Officer. A copy of the new certification should be forwarded to the employee’s official supervisor of record.

(3) If the employee is transferring to another region in the same discipline or a different discipline, the acquiring Regional Security Officer should complete the following:

(a) Complete a 9-3056, providing a new justification and appropriate signatures.

(b) A copy of the 9-3056 should be forwarded to the Security Management Office for inclusion in the individual’s official security file.

(c) The Security Management Office will change the region and discipline (if appropriate) information contained in the PSCS.

(d) A new certification listing the new region will be completed by the Security Management Office and forwarded to the acquiring Regional Security Officer. A copy of the new certification should be forwarded to the employee’s official supervisor of record. If the individual is transferring to a new region with the Geography Discipline, a copy of the individual’s original clearance certification will be provided by the Security Management Office to the Geography Discipline Security Officer who should forward a copy to the acquiring supervisor.

B. If the security clearance is transferred, a new investigation will not be required if the investigation upon which the existing clearance is based is current. If the investigation is not current, a new investigation will be required.

C. If the employee who is transferring remains in the same region, and the Regional Security Officer has determined after contacting the acquiring official supervisor of record that the new position does not require a security clearance, the Regional Security Officer must debrief the individual; notify the official supervisor of record to initiate a personnel action to change the position sensitivity designation in FPPS and in the Official Personnel Folder; and forward appropriate debriefing forms (see Chapter 5.1.C) to the Security Management Office, who will terminate the clearance.

For employees who have transferred to a new position in a new region and it has been ascertained by the Security Management Office after contacting the Regional Security Officer that the individual no longer requires a security clearance for the new position, the Security Management Office will request the acquiring Regional Security Officer to debrief the individual and to notify the acquiring official supervisor of record to initiate a personnel action to change the position sensitivity designation in FPPS and the employee’s Official Personnel Folder. The Regional Security Officer should forward the appropriate debriefing forms (see Chapter 5.1.C.) to the Security Management Office, who will terminate the clearance.


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U.S. Department of the Interior
, U.S. Geological Survey, Reston, VA, USA
URL: http://www.usgs.gov/usgs-manual/handbook/hb/440-7-h/440-7-h-ch7.html
Contact: APS, Office of Policy and Analysis
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Last modification: 11-Jan-2013@10:51 (kk)
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