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CHAPTER 8. SECURITY FILE DOCUMENTATION

1. Sensitive Position Security File Maintenance. The Security Management Office will maintain all sensitive position security files.

A. Every file will include the following (as applicable):

(1) Personnel Security Action Request, 9-3056.

(2) U.S. DOI, Request for Waiver of Preappointment Investigative Requirement for a Critical-Sensitive Position, DI-1912, or USGS Request for Waiver of Preappointment Investigative Requirements for Noncritical-Sensitive Positions, 9-3059.

(3) Copies of all personal history forms with the exception of the SF-87 or FD-258.

(4) Copy of FIPC-391, Certification of Amended Investigative Form.

(5) Copy of Position Designation Record (only for individuals with a Secret and/or a DOE “L” security clearance).

(6) Release to Obtain Credit Report form.

(7) Copy of DOE Security Acknowledgement, DOE F 5631.18.

(8) OPM Investigation Notices.

(9) OPM Case Closing Transmittal forms.

(10) OPM Certification of Investigation.

(11) USGS Code of Conduct Briefings.

(12) Agency copy of OFI-79A, Agency Adjudicative Action on OPM Personnel Investigations, after the investigation has been processed or an equivalent investigative data form.

(13) A signed Classified Information Nondisclosure Agreement, SF-312. The SF-312 will be retained following the date of execution, in accordance with the General Records Schedule 18, Item 25.

(14) Copy of USGS National Security Information Clearance Certification/Recertification.

(15) Copy of USGS Notification/Recertification of DOE “Q” or “L” Security Clearance or Update Investigation Completion.

(16) Security Debriefing Acknowledgement on the back side of the SF-312.

(17) Copy of U.S. DOE, Security Termination Statement, DOE F 5631.29.

(18) When an adverse action is proposed, the Security Management Office will maintain a copy of all written challenges, replies, or documentation supplied by the subject; a written summary of any oral response; and any other documents directly related to the issue(s).

B. This file is part of the Security Management Office privacy act system of records, Personnel Investigations Records – Interior, USGS-23. The physical storage of this file must meet DOI Privacy Act information safeguard requirements.

2. Disposition. Investigative reports and related papers furnished by investigative organizations are destroyed upon completion of the adjudication action unless the investigative reports are required for Sensitive Compartmented Information (SCI) adjudication. If the investigative reports are required for SCI adjudication, OPM has given authority to our agency to give copies to the Central Intelligence Agency (CIA). If the background investigation is provided to the CIA, the date, purpose of the disclosure, and the name of agency to whom it is provided must be annotated on the OPM Case Closing Transmittal sheet, and a copy of the annotated transmittal sheet must be kept in the individual’s official security file. The case is then sealed in a “Blue Special Attention Mail” envelope with the name of the individual whose background is enclosed in the envelope clearly printed on the front. It is then given to the Primary Security Officer or his/her designee. The Primary Security Officer or his/her designee must keep a record of the name of the person to whom the envelope was released to, date, agency name, and address.


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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-ch8.html
Contact: APS, Office of Policy and Analysis
Content Information Contact: kkevans@usgs.gov
Last modification: 11-Jan-2013@10:51 (kk)
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