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  ORDER                                                    **1600.72**

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CONTRACTOR AND INDUSTRIAL SECURITY PROGRAM

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height="1.336111111111111in"}

**April 4, 2001**

**DEPARTMENT OF TRANSPORTATION**

**FEDERAL AVIATION ADMINISTRATION**

**FOREWORD**

This order formally documents the Federal Aviation Administration's
Contractor and Industrial Security Program, establishes and defines the
policies and responsibilities for implementing the program in accordance
with applicable laws and regulations, and initiates a quality assurance
process that will ensure compliance with these policies.

The FAA's mission is to ensure safe, secure, and efficient air travel.
Its ability to do this depends on the adequacy, reliability, and
security of its facilities, automated systems, information, and
resources.

The FAA, along with other Federal Government agencies, has become
dependent upon a growing cadre of contractors, consultants, and other
individuals to support its mission. Those contractor employees,
consultants, and other individuals are given the same access to FAA
facilities, systems, information, and resources as Federal employees.
Therefore, the security measures applied during the selection and hiring
should be no less than those applied during the selection and hiring of
Federal employees. This order is designed to ensure equal and fair
application of security measures during the hiring process. These new
policies will eliminate security weaknesses and tighten controls over
the hiring of contractor employees, consultants, and other persons by
ensuring appropriate risk assessments and security screenings are
performed.

It is incumbent upon each associate administrator, director, manager,
and FAA employee to ensure full understanding and compliance with this
order\--the security of the FAA depends upon it.

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TABLE OF CONTENTS

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                                                                                                                                                [Page                       
                                                                                                                                                No]{.underline}.            

                                                                                                                                                                            

  CHAPTER 1.   GENERAL                                                                                                                                                      1

                                                                                                                                                                            

  1\.          PURPOSE......................................................................................                                                                1

  2\.          DISTRIBUTION...............................................................................                                                                  1

  3\.          REFERENCES TO DAYS..................................................................                                                                         1

  4\.          DEFINITIONS.................................................................................                                                                 1

  5\.          AUTHORITY TO CHANGE THIS ORDER.............................................                                                                                  1

  6\.          BACKGROUND...............................................................................                                                                    1

  7\.          AUTHORITY TO INVESTIGATE CONTRACTOR EMPLOYEES................                                                                                                2

  8\.          EXCEPTIONS TO REQUIREMENTS AND STANDARDS.........................                                                                                            4

  9\.          SCOPE..........................................................................................                                                              4

  10\.         POLICIES....................................................................................\...                                                             4

  11\.         RESPONSIBILITIES.........................................................................                                                                5   

  12\.         \- 199.                                                                                                                                                  9   
               RESERVED\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....                               

                                                                                                                                                                            

                                                                                                                                                                            

  CHAPTER 2.   CONTRACTOR AND INDUSTRIAL SECURITY OPERATIONS ..............                                                                                        15       

                                                                                                                                                                            

  200\.        GENERAL....................................................................................                                                         15       

  201\.        STANDARDS OF OPERATION.........................................................                                                                     15       

  202\.        THE PROCESS...........................................................................\...                                                          15       

  203\.        PROCUREMENT REVIEWS.............................................................                                                                    17       

  204\.        FUNDING FOR CONTRACTOR SECURITY SCREENINGS...................                                                                                       18       

  205\.        INITIATING, MONITORING, AND CLOSING INVESTIGATIONS..............                                                                                    18       

  206\.        ADDITIONAL SSE INVESTIGATION..................................................                                                                      21       

  207\.        ADJUDICATION, ISSUE RESOLUTION, AND DUE PROCESS...............                                                                                      23       

  208\.        CONTRACTOR SECURITY RECORDS..............................................                                                                           23       

  209\.        SAFEGUARDING RECORDS AND PRIVACY ACT REQUIREMENTS...\...                                                                                            25       

  210\.        ANNUAL REVIEW OF DD FORMS 254....................................\...\......\...                                                                    27       

  211\.        \- 299.                                                                                                                                             27       
               RESERVED\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...                                 

                                                                                                                                                                            

                                                                                                                                                                            

  CHAPTER 3.   POSITION RISK/SENSITIVITY LEVEL DESIGNATION\...\...\...\...\...\...\...\...\...\....                                                                29       

                                                                                                                                                                            

  300\.        POSITION RISK/SENSITIVITY LEVEL DESIGNATION.....................\...\...                                                                            29       

  301\.        RESPONSIBILITY FOR POSITION DESIGNATIONS............................                                                                                29       

  302\.        RISK LEVELS................................................................................                                                         29       

  303\.        SENSITIVITY LEVELS..................................................................\...                                                            30       

  304\.        DESIGNATION GUIDELINES...........................................................                                                                   30       

  305\.        DOCUMENTING POSITION RISK/SENSITIVITY LEVEL DESIGNATIONS                                                                                            31       

  306\.        \- 399.                                                                                                                                             31       
               RESERVED\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...                                 

                                                                                                                                                                            

                                                                                                                                                                            

  CHAPTER 4.   INVESTIGATIVE REQUIREMENTS...................................................                                                                       35       

                                                                                                                                                                            

  400\.        INTRODUCTION............................................................................                                                            35       

  401\.        TYPES OF BACKGROUND INVESTIGATIONS.................................\...                                                                             35       

  402\.        INVESTIGATIVE SCOPE............\.....................................................                                                               36       

  403\.        INVESTIGATIVE REQUIREMENTS...................................................                                                                       37       

  404\.        SPECIAL CIRCUMSTANCE INVESTIGATIVE REQUIREMENTS.............                                                                                        41       

                                                                                                                                                                            

                                                                                                                                                                            
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**TABLE OF CONTENTS**

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                                                                                                                                                             [Page                        
                                                                                                                                                             No]{.underline}.             

                                                                                                                                                                                          

  405\.        INVESTIGATIVE REQUIREMENTS FOR ACCESS TO CLASSIFIED                                                                                                                   42   
               INFORMATION......\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....                                        

  406\.        INVESTIGATIVE REQUIREMENTS FOR AIS ACCESS.........................                                                                                                    43   

  407\.        INVESTIGATIVE REQUIREMENTS FOR FOREIGN NATIONALS AND IMMIGRANT ALIENS AS CONTRACTORS.........................................                                         43   

  408\.        PERIODIC REINVESTIGATION REQUIREMENTS...............................                                                                                                  45   

  409\.        EXEMPTIONS AND EXCEPTIONS....................................................                                                                                         45   

  410\.        ESCORT REQUIREMENTS.............................................................                                                                                      46   

  411\.        STANDARDS FOR USING PREVIOUS INVESTIGATIONS..................\...                                                                                                     47   

  412\.        \- 499. RESERVED.........................................................................                                                                             48   

                                                                                                                                                                                          

                                                                                                                                                                                          

  CHAPTER 5    CONTRACTOR AND INDUSTRIAL SECURITY ADJUDICATIVE                                                                                                                       57   
               GUIDELINES\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....                                

                                                                                                                                                                                          

  500\.        APPLICATION OF ADJUDICATIVE GUIDELINES..............................\...                                                                                              57   

  501\.        RELATIONSHIP BETWEEN SUITABILITY AND SECURITY...................                                                                                                      57   

  502\.        SUITABILITY STANDARD...............................................................                                                                                   57   

  503\.        SUITABILITY CRITERIA..................................................................                                                                                58   

  504\.        SECURITY STANDARD AND CRITERIA..........................................\...                                                                                          59   

  505\.        COORDINATING CONTRACTOR PERSONNEL SECURITY INFORMATION..............................................................................                                  60   

  506\.        \- 599. RESERVED\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\......                                   60   

                                                                                                                                                                                          

                                                                                                                                                                                          

  CHAPTER 6    SUITABILITY DETERMINATIONS.....................................................                                                                                       63   

                                                                                                                                                                                          

  600\.        APPLICATION AND RESPONSIBILITY.......................................\...\...\...                                                                                     63   

  601\.        PROCESSING INVESTIGATIONS AND MAKING SUITABILITY DETERMINATIONS........................................................................                               63   

  602\.        INTERIM SUITABILITY DETERMINATIONS........................................                                                                                            64   

  603\.        FINAL SUITABILITY DETERMINATIONS............................................                                                                                          66   

  604\.        DISPOSITION OF INCOMPLETE INVESTIGATIONS............................                                                                                                  66   

  605\.        DOCUMENTATION AND NOTIFICATION...........................................                                                                                             66   

  606\.        \- 699. RESERVED\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...                                  67   

                                                                                                                                                                                          

                                                                                                                                                                                          

  CHAPTER 7    QUALITY ASSURANCE ...............................................................\...                                                                                 71   

                                                                                                                                                                                          

  700\.        INTRODUCTION.....................................................................\...\.....                                                                      71        

  701\.        PROGRAM MISSION STATEMENT..............................\...\...\...\...\...\...\...\...                                                                          71        

  702\.        RESPONSIBILITIES.........................................................\...\...\...\...\.....                                                                  71        

  703\.        REVIEW CRITERIA.........................................................\...\...\...\...\...\...                                                                 75        

  704\.        REPORTING REQUIREMENTS................................................\...\...\...                                                                               75        

  705\.        \- 799. RESERVED\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...                             75        

                                                                                                                                                                                          

                                                                                                                                                                                          

  APPENDIX 1   GLOSSARY (7 PAGES)...................................................................\...                                                                                  1

                                                                                                                                                                                          
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CHAPTER 1. GENERAL

1\. [PURPOSE]{.underline}. This order establishes the Contractor and
Industrial Security Program for the Federal Aviation Administration
(FAA) and prescribes related policy, standards, criteria, and guidelines
for security screening of contractor employees consistent with
applicable laws, Executive Orders (E.O.), and Governmentwide regulations
to parallel the FAA's Personnel Security Program where practicable. FAA
Order 1600.1D, Personnel Security Program, contains the policies and
procedures necessary for investigation of persons working as employees
or volunteers at FAA-sponsored child care centers.

2\. [DISTRIBUTION]{.underline}. This order is distributed to all office
and service directors in headquarters, the regions, and the aeronautical
and technical centers, and the security and logistics divisions in the
regions and centers, with limited distribution to all civil aviation
security and logistics field offices and units.

3\. [REFERENCES TO DAYS]{.underline}. All references to days in this
order refer to calendar days, unless otherwise stated.

4\. [DEFINITIONS]{.underline}. With respect to the FAA's Contractor and
Industrial Security Program, the definitions in Appendix 1, Glossary,
shall apply.

5\. [AUTHORITY TO CHANGE THIS ORDER]{.underline}. The Administrator
reserves the authority to approve changes which establish or revise
policy, delegate authority, or assign responsibility. The Associate
Administrator for Civil Aviation Security may issue changes to this
order as necessary to implement and manage the Contractor and Industrial
Security Program. All substantive changes will be coordinated with the
Office of Security and Administrative Management (M-40), Office of the
Secretary of Transportation (OST).

6\. [BACKGROUND]{.underline}. The increased emphasis on reinventing and
streamlining Government processes has led to the use of contractor
employees to supplement, support, and even replace a growing segment of
the Government workforce. The FAA utilizes contractors, contractor
employees, consultants, and other persons (hereafter referred to as
contractor employees) in support of virtually all aspects of its
mission, including areas requiring access to classified national
security information.

a\. To ensure the protection of FAA facilities, sensitive information,
and resources, contractor employees must undergo a security screening to
determine their suitability to work under contract with the FAA. The FAA
does *not* determine whom a contractor may employ. The FAA *does*
reserve the right to restrict access to FAA facilities, sensitive
information, and/or resources by any contractor. A determination of a
contractor employee's fitness for access to FAA facilities, sensitive
information, and/or resources is known as a suitability determination
and is made by FAA personnel security specialists. For those contractor
employees who will require access to classified national security
information to perform under the contract, a determination must also be

made as to whether their use will be in the best interest of the
national security. This determination is known as a security
determination and is made by the Department of Defense (DOD) for the
FAA.

b\. With regard to classified contracts, when acting as a contracting
agency, the Department of Transportation (DOT) has the authority and
responsibility and performs the functions specified for a user agency in
the latest editions of the National Industrial Security Program
Operating Manual (NISPOM) and the Industrial Security Regulation (ISR),
both of which are issued by DOD. The DOD grants the facility clearances
to contractors as needed and security clearances to contractor employees
when necessary for access to classified information. By agreement
between DOT and DOD, DOD is authorized to act for and on behalf of DOT
in providing security services for the protection of classified
information that DOT releases to contractors, contractor employees, and
consultants.

7\. [Authority to investigate contractor employees]{.underline}. Due to
their FAA affiliation, the extent of their responsibility, and the risk
levels of the positions they occupy, the FAA investigates those
contractor employees who have the same level of access to FAA
facilities, sensitive information, and/or resources as do FAA employees
in order to make suitability determinations.

a\. On October 1, 1979, the Department of Justice (DOJ) rendered an
opinion that Federal agencies have the authority to screen contractor
employees in any reasonable manner and that such screening must be
consistent with due process of law. The DOJ cited from the United States
Code (U.S.C.) three statutory sources of agency authority to investigate
and determine the suitability of contractor employees. Those authorities
are:

\(1\) [5 U.S.C. 301]{.underline}. Authorizes the head of each executive
or military department to "prescribe regulations for the Government of
\[the\] department, the conduct of its employees, the distribution and
performance of its business, and the custody, use, and preservation of
its records, papers, and property."

\(2\) [44 U.S.C. 3102]{.underline}. This part requires each Federal
agency to provide for "effective controls over the creation and over the
maintenance and use of records in the conduct of current business" and
in cooperation with the Administrator of the General Services
Administration to "promote the maintenance and security of records
deemed appropriate for preservation."

\(3\) [5 U.S.C. 552a(e)(9) and (10)]{.underline}. This part requires
that each agency establish: (1) rules of conduct for persons involved in
the design, operation, or maintenance of any system of records; and (2)
appropriate administrative, technical, and physical safeguards to ensure
the security and confidentiality of records. The DOJ noted that U.S.C.
552a, while applicable only to systems of records containing information
on individuals, does provide that agencies, consistent with their
authority, have the right to extend the requirements of the section to
Government contractors who operate such a system of records to
accomplish agency functions.

b\. [OMB Circular A-130, Management of Federal Information
Resources]{.underline}, requires Federal agencies to establish personnel
security policies for Federal and contractor personnel as needed to
ensure an adequate level of security for Federal automated information
systems. These policies should include requirements for screening all
individuals participating in the design, development, operation, or
maintenance of sensitive applications, as well as those persons having
access to sensitive data.

c\. [E.O. 12829 established the National Industrial Security Program
(NISP) on January 6, 1993]{.underline}, to safeguard Federal Government
classified information that is released to contractors, and it provides
for the protection of information classified pursuant to E.O. 12958,
Classified National Security Information, and the Atomic Energy Act of
1954, as revised. This E.O. appointed the Secretary of Defense as the
Executive Agent for inspecting and monitoring contractors, licensees,
and grantees who require or will require access to or who store or will
store classified information and for determining the eligibility for
access to classified information of such contractors, licensees, and
grantees, and their respective employees. This E.O. requires that the
heads of all Federal agencies enter into agreements with the Secretary
of Defense that establish the terms of the Secretary's responsibilities
on behalf of these agency heads. The FAA has entered into such an
agreement and identified the Defense Security Service (DSS) as the
primary agency responsible for conducting and adjudicating the
background investigations on contractor employees and applicants, making
the security determinations, and granting the security clearances for
the FAA.

d\. [DOD Directive 5200.2, DOD Personnel Security Program, dated April
9, 1999]{.underline}, updated the policy and responsibilities changes to
E.O. 12958 and E.O. 12968, Access to Classified Information. This
directive prescribes that "the objective of any \[contractor\] personnel
security program is that . . . contractor \[employees\] assigned to and
retained in sensitive positions in which they could potentially damage
national security are and remain reliable and trustworthy, and \[that\]
there is no reasonable basis for doubting their allegiance to the United
States." This directive continues authorization for the publication of
DOD Directive 5200.2-R, Personnel Security Program, which established
uniform common adjudicative standards for contractor security background
investigations.

e\. [DOD Directive 5220.22-M, NISPOM, January 1995]{.underline},
established investigative requirements pertaining to contractor
employees and prescribes for uniform common adjudicative standards
paralleling the requirements and standards for Federal Government
employees set forth in E.O. 12968. The NISPOM authorizes the FAA to
restrict or otherwise control contractor employee access to classified
information in the interest of national security. The requirements set
forth in this manual apply to the release of classified information
during all phases of the contracting process to include: bidding,
negotiation, award, performance, termination, and the licensing or grant
process with or under the control of the FAA.

f\. [Other authorities and references]{.underline}.

\(1\) 5 CFR 731, Suitability.

\(2\) 5 CFR 736, Personnel Investigations.

\(3\) National Institute of Standards and Technology, March 1992.

\(4\) Public Law 100-235, Computer Security Act of 1987.

8\. [EXCEPTIONS TO REQUIREMENTS AND STANDARDS]{.underline}. Any
exception to the requirements and standards contained in this order must
be submitted to the Associate Administrator for Civil Aviation Security
through the Office of Civil Aviation Security Policy and Planning
(ACP-300) for approval. A complete copy of the proposed office, service,
center, or region order or supplement to this order that contains the
exception(s) must be provided to ACP-300 in support of the request.

9\. [SCOPE]{.underline}. The provisions of this order apply to persons
employed as or by contractors, subcontractors, or consultants who have
access to FAA facilities, sensitive information, and/or resources, other
persons who have such access by agreement of the FAA, and persons who
supply certain materials to the FAA as described in Chapter 4,
Investigative Requirements.

10\. [POLICIES]{.underline}. Contractor and industrial security policies
applicable throughout the FAA are as follows:

a\. Except as stated in this order, the personnel security program
policies and procedures applicable to FAA Federal employees will also
apply to contractor employees and applicants who have comparable
exposure (i.e., Federal employees in similar positions) to the agency's
facilities, information, and/or resources where practicable.

b\. The FAA will implement the requirements and procedures set forth in

E.O. 12829 and the NISPOM, as necessary.

c\. No person will work under contract with the FAA unless a
determination has been made on behalf of the Administrator that the
person's work under said contract will promote the efficiency of the
service.

d\. No person will work under a classified contract with the FAA unless
a determination has been made on behalf of the Secretary of
Transportation that such work is clearly consistent with the interests
of national security.

e\. Persons applying for work or to provide services or goods or working
or providing services or goods under FAA contracts within the United
States must have resided within the United States for 3 consecutive
years of the last 5 years, unless exempt from the investigative
requirements in accordance with paragraphs 403g and 403i-l or a waiver
of this requirement is requested and approved by ACS-1 prior to contract
award.

f\. Persons applying for work or to provide services or goods or working
or providing services or goods under FAA classified contracts must be a
U.S. citizen or permanent resident alien, except as provided for in
paragraph 407b.

g\. No person will be granted access to classified information by the
FAA unless that person possesses a valid need-to-know and has been
determined to be eligible for access by DOD in accordance with DOD
Directive 5200.2-R.

h\. Contractor employees who are screened to work or provide services or
goods under an FAA contract will ***not*** be considered to have been
granted a security clearance for access to classified information solely
on the basis of the successful completion of any required investigation.

i\. Appropriate background investigations will be conducted on all
contractor employees and applicants unless they are exempted in
accordance with paragraphs 403g, 403i-l, and 409 as determined by the
SSE. These investigations will serve as the basis for a suitability
determination.

j\. The FAA will afford fair, impartial, and equitable treatment to all
contractor employees and applicants through the consistent application
of contractor security standards, criteria, and procedures as specified
in applicable laws, regulations, and orders.

k\. Contractor employees and applicants will be given an opportunity to
explain or refute derogatory information used as the basis for any
adverse action taken against them.

l\. Investigative records and contractor personnel security files may be
disclosed only to the extent necessary under the requirements of the
latest editions of Order 1270.1, Freedom of Information Act Program, and
Order 1280.1, Protecting Privacy of Information About Individuals.

11\. [RESPONSIBILITIES]{.underline}. The following paragraphs provide a
broad overview of the duties and responsibilities for those FAA
employees and/or offices involved in the FAA's Contractor and Industrial
Security Program.

a\. [Administrator]{.underline}. The Administrator ensures the FAA
maintains a Contractor and Industrial Security Program consistent with
applicable laws, regulations, and orders. This program ensures that the
FAA's use of persons performing work or providing services or supplies
under a contract will promote the efficiency of the service.

b\. [Associate Administrator for Civil Aviation Security
(ACS-1)]{.underline}. ACS-1 implements the FAA's Contractor and
Industrial Security Program and provides general direction for the
program throughout the FAA. Resources needed for conducting an effective
program must be available and efficiently used.

c\. [Office of Civil Aviation Security Policy and Planning
(ACP)]{.underline}. ACP promulgates contractor and industrial security
policy, standards, and guidelines that are applicable throughout the
FAA.

d\. [Office of Civil Aviation Security Operations (ACO)]{.underline}.
ACO conducts the Contractor and Industrial Security Program operations
and directs program implementation in the headquarters, regions, and
centers, and, in coordination with

ACP-1, appraises the effectiveness and efficiency of the program at the
headquarters, region, and center levels.

e\. [Directors of offices and services]{.underline}. Directors of
offices and services including subordinates in regional and field office
facilities ensure that their subordinates understand and comply with
Contractor and Industrial Security Program requirements.

f\. [Regional administrators and center directors]{.underline}. Regional
administrators and center directors ensure implementation of and
compliance with this directive in their respective regions and centers
through their logistics and contracting organizations and any other
organizations that report directly to them as appropriate.

g\. [Managers of servicing security elements (SSE)]{.underline}.
Personnel security officers conduct contractor and industrial security
operations. For a more comprehensive listing of responsibilities, refer
to FAA Order 1600.73, Contractor and Industrial Security Program
Operating Procedures, Chapter 1, Introduction.

\(1\) Under the direction of ACO-1, the managers of the Investigations
Division (ACO-300), the regional and Aeronautical Center's Civil
Aviation Security Divisions, and the Technical Center's Civil Aviation
Security Staff:

\(a\) Implement and maintain an effective Contractor and Industrial
Security Program within their areas of responsibility.

\(b\) Designate a personnel security officer in writing who will be
responsible for contractor and industrial security. The designated
personnel security officer may serve in this capacity concurrently.

\(c\) Ensure compliance with contractor suitability investigative
requirements.

\(d\) Ensure appropriate training is provided for designating position
risk and sensitivity levels and for suitability adjudication.

\(e\) Provide guidance to operating offices, contracting offices (CO),
logistics divisions (LD), and real estate contracting offices (RECO) on
contractor and industrial security policies and procedures.

\(f\) Ensure all contractors and contractor employees requiring facility
or security clearances are processed in accordance with the requirements
stipulated in the NISPOM, ISR, and/or other applicable DOD regulations.

\(g\) Ensure determinations concerning the use of foreign nationals and
immigrant aliens under unclassified and classified FAA contracts are in
the best interest of the FAA and that a specific compelling need exists
for each determination.

\(h\) Ensure appropriate language is used in contracts which contain
work, services, supplies, or other duties to be performed or provided by
contractor employees to allow the conduct of security screenings when
needed.

\(i\) Ensure that position risk and sensitivity levels are properly
determined.

\(j\) Evaluate the effectiveness of the Contractor and Industrial
Security Program.

\(k\) Ensure and evaluate the integrity of the data entered into any
automated information system used to store, track, monitor, and/or
retrieve contractor employee investigative data.

\(2\) In addition to the responsibility for Contractor and Industrial
Security Program operation at the headquarters level, ACO-300 is
responsible for the contractor and industrial security functions related
to headquarters level and *national* contracts.

h\. [SSE's]{.underline}. The following statements comprise a broad
overview of the duties and responsibilities of SSE's. For a more
comprehensive listing of responsibilities for SSE's, refer to Order
1600.73, chapter 1. SSE's will:

\(1\) Implement the Contractor and Industrial Security Program policies
and procedures established by this order and Order 1600.73.

\(2\) Provide guidance to operating offices, contracting officers,
logistics management specialists (LMS), and RECO's on contractor and
industrial security policies and operating procedures.

\(3\) Assist operating offices, contracting officers, LMS's, and RECO's
in determining which contracts require investigation of contractor
employees and ensure inclusion of appropriate security clauses in those
contracts.

\(4\) Ensure appropriate security screenings are conducted on contractor
employees when required in accordance with Chapter 4, Investigative
Requirements, of this order and Order 1600.73, Chapter 4, Investigative
Requirements and Initiation Procedures.

\(5\) Make suitability determinations on contractor employees in
accordance with the requirements stipulated in Chapter 6, Suitability
Determinations, of this order and Order 1600.73, Chapter 5, Suitability
Determinations, ensure appropriate documentation and all required
notifications are made.

\(6\) Maintain appropriate records, when required:

\(a\) On contractor employee background investigations.

\(b\) Of contractor-certified visit requests for visits by foreign
nationals and immigrant aliens to FAA facilities.

\(7\) Assist in periodic evaluations of the Contractor and Industrial
Security Program to ensure its effective and efficient operation and to
ensure compliance with this order.

i\. [All Managers]{.underline}. All managers will:

\(1\) Ensure full understanding of and compliance with contractor
security standards, criteria, and procedures by individuals under their
jurisdiction, thus appropriately protecting the interests of the
national security, the FAA, and promoting the efficiency of the service.

\(2\) Identify and report to the SSE any significant deviation from
contractor security standards, criteria, or procedures.

j\. [Contracting offices, LD's, RECO's, and designees]{.underline}. All
offices and individuals that perform contracting functions ensure full
compliance with the contractor and industrial security standards,
criteria, and procedures outlined in this order and

Order 1600.73. Refer to Order 1600.73, chapter 1, for individual,
itemized lists of responsibilities.

\(1\) Ensure all solicitations and new, modified, or renewal contracts
containing work, services, supplies, or other duties to be performed or
provided by contractor employees are coordinated with the SSE for review
and determination of applicable personnel security investigative
requirements prior to solicitation.

\(2\) Ensure appropriate language is used in all solicitations and
contracts that contain work, services, supplies, or other duties to be
performed or provided by contractor employees that allows the conduct of
security screenings when needed through the security clauses contained
in the Federal Aviation Administration Acquisition System Toolset
(FAST).

\(3\) Ensure the SSE is notified whenever the status of a contract or
contractor employee changes (i.e., replaced, defaulted, terminated,
etc.) impacting personnel security requirements and/or access to FAA
facilities, sensitive information, and/or resources.

\(4\) Ensure all solicitations and contracts requiring disclosure or
release of classified information to the contractor, contractor
employees, or other persons not employed by the FAA contain language
that clearly identifies this requirement by incorporation of the
applicable security clause(s) from the FAST and a completed

DD Form 254, Contract Security Classification Specification, prior to
solicitation in coordination with the SSE and operating office.

\(5\) Ensure position risk level designations determined by the
operating office are forwarded to the SSE for review and approval prior
to contract award.

\(6\) Ensure the SSE receives all completed investigative forms within
30 days of contract award.

\(7\) Ensure the SSE receives a list of all proposed contractor
employees, the name of the contracting company, contract number, duty
location, identification of the funding line of business, and the names
of the contracting officer and COTR for each contract within 5 days of
contract award.

\(8\) Ensure no contractor employee begins work or provides services or
supplies under any contract until the SSE or DSS has provided written
authorization to do so.

\(9\) Ensure the SSE is notified of any information that may raise a
question about the suitability of any contractor or contractor employee
immediately upon discovery.

\(10\) Ensure appropriate action is taken immediately upon notification
that a contractor employee is determined to be unsuitable for access to
FAA facilities, sensitive information, classified information, and/or
resources and ensure the SSE is notified upon completion of the action.

\(11\) Provide the contractor all applicable security regulations and
ensure the contractor complies with the requirements set forth in the
security regulations.

\(12\) Assist in periodic evaluations of the Contractor and Industrial
Security Program to ensure its effective and efficient operation and
compliance with this order.

\(13\) Ensure and evaluate the integrity of all data entered into any
automated information system used to store, track, monitor, and/or
retrieve contractor and contractor employee information.

12.-199. [RESERVED]{.underline}.

CHAPTER 2. CONTRACTOR AND INDUSTRIAL SECURITY OPERATIONS

200\. [GENERAL]{.underline}. This chapter outlines the process and
prescribes the FAA's standards and responsibilities for conducting
contractor and industrial security operations and for maintaining
contractor security records.

201\. [STANDARDS OF OPERATION]{.underline}. FAA contractor and
industrial security operations will meet the following standards:

a\. The operations will be conducted at organizational levels where they
are closely controlled to ensure that they comply with FAA requirements,
are managed in an efficient and effective manner, and furnish all
program information which the OST requires.

b\. In servicing security elements (SSE), only professionally qualified
personnel security officers will direct contractor and industrial
security operations. SSE managers may delegate responsibility for
suitability adjudication, but may do so only to personnel security
specialists who are fully trained to evaluate reports and results of
background investigations and who have successfully completed the Office
of Personnel Management's (OPM) security and suitability adjudication
course, or an equivalent course, prior to being authorized to adjudicate
cases.

c\. When an operating office delegates program authority to field
offices, the SSE will maintain close controls, conduct periodic
evaluations as necessary, and closely monitor the program operations.

202\. [THE PROCESS]{.underline}. There is a sequential process by which
suitability and security determinations are made that allow contractor
employees to begin work or provide services or goods under an FAA
contract. Each step is essential to the process and must be conducted in
a specific sequence in order for the process as a whole to succeed. For
example, completion of FAA Form 1600-77, Contractor Position
Risk/Sensitivity Level Designation Record, determines the level and type
of security screening required for each position under a given contract.
If this form is completed out of sequence or is omitted altogether, then
suitability or security determination cannot be made. Without a
suitability or security determination, a contractor employee cannot
begin work or provide services or goods under a contract. Figure 1,
Contractor Security Screening Process, illustrates each step of the
process for making suitability determinations in appropriate sequential
order. These steps are addressed in this and the remaining chapters of
this order. Figure 2, Industrial Security Screening Process, illustrates
the steps in the process for making security determinations for access
to classified information in which the FAA has an active role. The
background investigations for contractor employees requiring access to
classified information are controlled and conducted by the Defense
Security Service (DSS).

![](media/image3.wmf)

#######  Figure 1 Contractor Security Screening Process

![](media/image4.wmf)

#######  Figure 2 Industrial Security Screening Process

203\. [PROCUREMENT REVIEWS]{.underline}. The protection of the security
interests of the FAA can only be ensured by cooperation and timely
exchange of information between the Office of Civil Aviation Security
Operations, Investigations Division (ACO-300); regional, center, and
field SSE's; the Research and Acquisitions Organization (ARA); Office of
Information Services (AIO); Office of Regions and Center Operations
(ARC); and the regional, center, and field contracting officers (CO),
contracting officer's technical representatives (COTR), real estate
contracting officers (RECO), and logistics management specialists (LMS).
These reviews identify what security screenings, if any, are required
for the proposed contractor employees and precede all other operational
actions relative to the Contractor and Industrial Security Program.

a\. SSE's must review all statements of work (SOW), new contracts, and
all modifications to and renewals of contracts that contain work,
services, supplies, or other duties to be performed or provided by
contractor employees to ensure appropriate language is included to allow
for the conduct of security screenings when necessary. SSE's will use
the procedures outlined in Order 1600.73, chapter 2, when conducting
these reviews.

b\. SSE's must review all solicitations and contracts requiring
disclosure or release of classified information to the contractor,
contractor employees, or other persons not employed by the FAA to ensure
appropriate language that clearly identifies this requirement and a
completed DD Form 254, Contract Security Classification Specification,
are included prior to release or award. SSE's will use the procedures
outlined in Order 1600.73, chapter 2, when conducting these reviews.

c\. SSE's must review all FAA Forms 1600-77, Contractor Position
Risk/Sensitivity Level Designation Record, to ensure they have been
properly completed and approve the position risk or sensitivity level
designations. SSE's will apply the guidelines contained in chapter 3 of
this order and the procedures outlined in Order 1600.73, chapter 3, when
conducting these reviews.

\(1\) Operating offices must document, in detail, the information
associated with each position or group of positions on FAA Form 1600-77
and include a detailed justification for any exemption pursuant to
paragraphs 403i-l and/or in block IV, Final Adjustment Factors. (Refer
to Order 1600.73, Chapter 3, Position Risk/Sensitivity Level
Designation, for step-by-step instructions on completing FAA Forms
1600-77 and determining position risk/sensitivity levels.)

\(2\) Operating offices must forward all completed FAA Forms 1600-77 to
the SSE for review and signature.

\(3\) If the SSE determines that the information provided on the
completed form meets the requirements for exemption, the form will be
approved and returned to the operating office.

\(4\) If the SSE determines that the information provided on the
completed form does not meet the requirements for exemption and/or that
the nature of the access required by the position or group of positions
warrants some type of security screening, the form will ***not*** be
approved.

\(a\) The SSE must advise the operating office of this determination and
the reason for the determination.

\(b\) The operating office must either reaccomplish the form to show an
appropriate risk/sensitivity level or provide additional justification
for exemption and forward the new form to the SSE for review and
approval.

204\. [FUNDING FOR CONTRACTOR SECURITY SCREENINGS]{.underline}. Each
line of business (LOB) will fund security screenings, such as background
investigations and fingerprint checks on contractor employees. The
operating or program office for which the work, services, and/or
supplies are being contracted must establish a funding mechanism for
these security screenings. This funding should not be incorporated into
the affected contracts. Until a funding mechanism has been established,
operating or program offices should use Operations (OPS), Facilities and
Equipment (F&E), or Research and Development (R&D) funds, as determined
by the contract, to pay for any required contractor security screenings.

205\. [INITIATING, MONITORING, AND CLOSING INVESTIGATIONS]{.underline}.
SSE's are responsible for ensuring that all requests for investigation
that do not involve access to classified information are submitted to
OPM as required by chapter 4 and this paragraph within 14 days of
receipt. Since DSS conducts the background investigations on contractor
employees who require access to classified information and grants the
security clearances, this section will not address initiating,
monitoring, and closing of those investigations.

a\. [Forms requirements]{.underline}. The CO's, logistics divisions
(LD), and RECO's have the primary responsibility for ensuring that
required investigative forms for investigation of contractor employees
are submitted to the SSE and that the SSE has provided written
authorization prior to allowing the contractor employees access to FAA
facilities, sensitive information, and/or resources. The operating
office will assist the contracting office as necessary.

\(1\) Due to the sensitive nature of the forms required to conduct
background investigations and Privacy Act requirements, contractor
employees should submit completed investigative forms directly to the
SSE in a sealed envelope. When circumstances prevent direct submission
to the SSE, the forms may be submitted in a sealed envelope directly to
the CO, LD, or RECO who will forward them without inspection to the SSE.

\(2\) The contractor must provide the CO, LD, or RECO a list identifying
each proposed contractor employee within 5 days after contract award for
whom investigative forms are being submitted.

\(3\) The CO, LD, or RECO must forward a copy of the list provided by
the contractor to the SSE.

\(4\) Specific forms required to initiate security screenings are:

\(a\) For all contractor employee positions requiring investigation that
do not require access to classified information, one FD-258, FBI
Fingerprint Card, and one Standard Form (SF) 85P, Questionnaire for
Public Trust Positions.

\(b\) For all contractor employee positions requiring investigation that
require access to classified information, one FD-258 and one SF-86,
Questionnaire for National Security Positions.

\(c\) For those positions that require only a fingerprint check, one
FD-258 and one SF-85P.

\(d\) For all update and upgrade investigations on positions that do not
require access to classified information, one FD-258 and one SF-85P.

\(e\) The SSE may also require submission of other forms as needed to
comply with OPM requirements. As necessary, ACO-300 will transmit to the
SSE's information about additional forms or information required to
initiate background investigations on contractor employees.

b\. [Initiation guidelines]{.underline}.

\(1\) When only a fingerprint check is required, the SSE may initiate
this check directly with the FBI or through OPM. The SSE will submit the
FD-258's within 5 days of receipt of completed forms. Refer to Order
1600.73, chapter 4, for specific procedures.

\(2\) The SSE will review the investigative forms for accuracy and
completeness and to determine whether any background investigation has
been previously conducted prior to submission to the appropriate
investigative agency. Incomplete forms *may* be returned to the CO, LD,
or RECO in a sealed envelope for correction by the affected contractor
employee ***or*** the SSE *may* contact the affected contractor employee
to obtain any missing/needed information.

\(3\) The SSE will initiate all background investigations on contractor
employees within 14 days of receipt of the completed investigative forms
or approval of interim suitability determination requests. The security
screenings may be initiated with OPM or other designated agencies
providing this service. ACO may also establish procedures for the SSE's
to conduct the required investigations on contractor employees whenever

deemed appropriate. Any information that FAA developed during
preliminary reviews and/or checks will be forwarded to OPM with the
respective investigative forms.

\(4\) The SSE will not submit any forms to initiate investigations until
it has completed the preliminary review and ensured the forms are
complete.

c\. [Monitoring initiated investigations]{.underline}. The SSE will
monitor all investigations it has initiated to ensure completion and
receipt within the requested service timeframe. If an investigation has
not been completed and received within the requested service

timeframe, the SSE will contact OPM to determine the status of the
investigation and obtain an anticipated completion date. The SSE will
follow up as necessary until the completed investigation is received.

d\. [Discontinuing investigations]{.underline}.

\(1\) The SSE will discontinue an investigation whenever it becomes
clear that the investigation is no longer needed, such as when a
contractor employee declines a position or is no longer being
considered. The CO, LD, RECO, and operating offices must immediately
notify the SSE when they become aware that discontinuing an
investigation is warranted.

\(2\) The SSE will telephonically advise OPM immediately upon
determining that an investigation should be discontinued and will follow
up with a written notification that includes the reason for the
discontinuance. The SSE will also notify the servicing accounting office
and will advise that office of the expected charge for the incomplete
investigation, if any. The SSE will contact OPM, if necessary, to
resolve any subsequent question as to the charge for an incomplete,
discontinued investigation.

e\. [Closing and adjudicating investigations]{.underline}.

\(1\) OPM will send all reports of investigation (ROI) to the SSE
identified by the security office identifier (SOI) code on the SF-85P.
The SSE will review all reports of investigation for investigative
sufficiency and resolve any deficiencies prior to formal adjudication.

\(2\) The SSE will adjudicate all ROI's on contractor employees to
determine their suitability to work under FAA contracts with access to
FAA facilities, sensitive information, and/or resources. In those cases
where the SSE believes that information developed during the course of
an investigation might result in an unfavorable suitability
determination, it will consult with the contracting office, CO, LD, or
RECO and any office with a valid need to know.

\(3\) If, after receipt of a completed ROI, the SSE determines that
additional investigative work is required to make a suitability
determination, the SSE must follow

the criteria and procedures outlined in paragraph 203 of this order and
Order 1600.73, chapter 5.

\(4\) The SSE will apply the same suitability standard and criteria to
adjudicate background investigations on contractor employees as used in
the adjudication of comparable investigations conducted on FAA
applicants and employees. The standard and criteria are outlined in
chapter 5 of this order and procedures for applying the standard and
criteria are outlined in Order 1600.73, chapter 5.

\(5\) The SSE will provide contractor employees due process prior to
making an unfavorable suitability determination based on information
provided in an ROI. The FAA may deny a contractor employee access to its
facilities, sensitive information, and/or resources until due process
has been completed as appropriate.

\(a\) The SSE may provide due process either orally or in writing. The
SSE will clearly explain the unfavorable information and provide the
affected contractor employee an opportunity to respond within a
reasonable amount of time of not more than 30 days from the date of the
due process notification.

\(b\) The SSE will communicate directly with the affected contractor
employee when providing due process to protect the affected contractor
employee's rights under the Privacy Act.

\(c\) The SSE will then consider any information the employee has
provided within the prescribed timeframe before making a final
suitability determination. The FAA does not have to give the contractor
employee any additional opportunity to respond to the decision.

\(d\) The SSE will make a suitability determination based on the
information available if the contractor employee does not respond within
the prescribed timeframe.

\(6\) The SSE will notify the CO, LD, or RECO in writing of all final
suitability determinations. When an unfavorable suitability
determination is made, the CO, LD, or RECO must then notify the
contractor to remove the employee as otherwise objectionable from
performance under the contract or to take other action as the SSE
directs. The CO, LD, or RECO must then notify the SSE when the removal
or other action has been taken. For example the SSE may deny the person
access to FAA facilities, sensitive information, and/or resources, but
may still allow him or her to work at another location where such access
will not be required.

\(7\) Due to strict requirements under the Privacy and Freedom of
Information Acts, neither the SSE nor any other FAA employee may
disclose to a contractor or other contractor employees information
contained in any background investigation on a contractor employee or
the specific reason(s) for any suitability determination.

206\. [ADDITIONAL SSE INVESTIGATION]{.underline}. It may be necessary
for the SSE to conduct an additional investigation before making a
suitability determination once a completed ROI is received from OPM.

a\. [Additional investigation criteria]{.underline}.

\(1\) The SSE will conduct or open an investigation whenever:

\(a\) The additional work required consists of interviews with
additional sources or extensive records checks.

\(b\) There is at least one material, unresolved issue, the resolution
of which would impact a suitability determination; and

\(c\) The SSE has determined that the subject of the investigation is
still under active consideration as a contractor employee and has
neither declined employment with the contractor nor been terminated by
the contractor.

\(2\) The SSE will ***not*** conduct or open an investigation:

\(a\) Solely to conduct an interview of a contractor employee or
applicant, or to conduct brief, followup records checks with courts or
law enforcement agencies.

\(b\) To conduct checks that can be conducted electronically or by mail.

\(c\) When existing reports resolve all material issues; i.e., issues
whose resolution would be likely to impact a suitability determination.

\(d\) When admissions by the subject provide sufficient information on
which to make a suitability determination.

\(e\) When issues, even if unresolved, are minor or in the distant past,
and resolution would ***not*** impact a suitability determination.

b\. [Initiation of investigations]{.underline}. When it is necessary to
open an investigation, the SSE will conduct it according to procedures
established by the Office of Civil Aviation Security Operations (ACO).
If an investigation is not necessary, the SSE may interview the subject
in person or send a letter or memorandum to him or her to fulfill the
due process requirements prescribed in paragraph 206c.

c\. [Documenting investigative work]{.underline}.

\(1\) If there is a need for substantial investigative work in addition
to an interview with a contractor employee or applicant, then all of the
investigative results, including the interview, will be reported in an
ROI in accordance with procedures established by ACO.

\(2\) If there is no need for an investigation, then the SSE will
prepare a memorandum to the contractor personnel security file to
document the results of an interview and any additional checks
conducted. Any written statement from the subject will also be included
in the file.

207\. [ADJUDICATION, ISSUE RESOLUTION, AND DUE PROCESS]{.underline}.

a\. [Adjudication of security screenings]{.underline}. SSE's will
adjudicate all security screenings they initiate on applicants and
contractor employees and make suitability determinations in accordance
with the guidelines contained in chapters 5 and 6 of this order and the
procedures outlined in Order 1600.73, chapter 5.

b\. [Issue resolution]{.underline}. The examination and evaluation of
the seriousness of issues developed during security screenings on
contractor personnel should mirror that of Federal employees. However,
the means by which these issues are resolved and the extent to which
contractors are afforded an opportunity to explain or refute any
unfavorable information is more limited. SSE's will resolve all issues
in accordance with the procedures outlined in Order 1600.73, chapter 5.

c\. [Due process]{.underline}. Contractor personnel have no formal
appeal rights. The FAA has full control over granting, denying,
withholding, and terminating unescorted access to FAA facilities and/or
sensitive information to contractor employees based on the results of a
security screening. Before making an unfavorable suitability
determination, the SSE must afford the affected contractor employee an
opportunity to refute, explain, or mitigate any derogatory information.
SSE's will follow the due process procedures outlined in Order 1600.73,
chapter 5.

208\. [CONTRACTOR SECURITY RECORDS]{.underline}. Records, whether
electronic or hard copy, established in accordance with this paragraph
contain sensitive information and Privacy Act protected information and
may contain classified information. All FAA personnel will protect these
records at all times during handling, transmittal, storage, and release.

a\. [Automated file systems]{.underline}. The SSE will enter a record
into an automated information system approved by ACO on all applicants
and contractor employees. The SSE will also enter a record on any
contractor employee to whom DOD has granted a security clearance for
work under an FAA contract. Contractor employee information in the
approved system will be available to all SSE's and will serve as the
primary means by which an SSE can determine if a particular contractor
employee has been investigated.

b\. [Contractor security files (CSF)]{.underline}. SSE's will establish
CSF's for all contractor employees who hold security clearances and for
contractor employees in other positions when there are ROI's or other
contractor security materials warranting retention. Documents such as
FAA Form 1600-77 may be kept in other alphabetical files when no CSF is
maintained.

c\. [File retention]{.underline}.

\(1\) All CSF's will be maintained for as long as the contractor
employees are working under an FAA contract.

\(2\) CSF's on all terminated contractor employees will be retained and
destroyed as follows:

\(a\) CSF's containing significant suitability information will be
retained in accordance with the latest edition of Order 1350.15, Records
Organization, Transfer, and Destruction Standards.

\(b\) CSF's that do not contain significant suitability information or
an FAA ROI will be retained for 30 days following termination of
employment unless the employee is expected to be reemployed within 5
years.

\(3\) CSF's containing an FAA ROI will be retained for 5 years following
termination.

\(4\) SSE's will retain other contractor security correspondence and
records in accordance with the latest edition of Order 1350.15.

\(5\) SSE's will retain all CSF's on nonselected contractor employees
for a period of 1 year from the date of nonselection unless they contain
FAA ROI's. In those cases, the CSF's will be retained for 5 years.

d\. [Reviews of CSF's]{.underline}. SSE's will provide contractor
employees an opportunity to review their CSF upon request. Contractor
employees may also, in writing, authorize a representative to review
their CSF. The SSE will do the following when complying with a request
for a CSF review:

\(1\) Review the file before letting the contractor employee or
authorized individual review it or before sending it to a field facility
for review.

\(2\) Remove any ROI completed by another agency, such as OPM, DSS, or
FBI. If such a report is removed, inform the employee or authorized
individual in writing that the original of the CSF contains a report
completed by a specified agency, that the FAA is not authorized to
release it directly to the contractor employee or authorized individual,
and that the contractor employee or authorized individual should contact
the investigating agency directly in order to request a copy.

\(3\) Remove from the file any other information, such as identification
of a confidential source or that concerning an ongoing investigation,
that is exempt from release under the Privacy Act.

\(4\) If the contractor employee works at Washington headquarters, a
regional headquarters, or a center, permit review only at the SSE.

\(5\) If the contractor employee works at any other location, send only
a certified true copy of the CSF to the duty location, retaining the
original in the SSE. Enclose the copy in an envelope addressed to the
contractor employee and marked, "TO BE

OPENED BY ADDRESSEE ONLY," and transmit the envelope according to the
requirements in Order 1280.1.

\(6\) When the review takes place at the SSE, permit the contractor
employee or authorized individual to review the CSF only under the
direct observation of an SSE employee. Provide the contractor employee
or authorized individual a reasonable amount of time to review the file
and ensure that he or she does not withdraw any documents or pages from
it.

209\. [SAFEGUARDING RECORDS AND PRIVACY ACT REQUIREMENTS]{.underline}.

a\. SSE's will provide access to CSF's, ROI's, any record of derogatory
information including a contractor employee's response to it, only to
those individuals who, in their official capacity, have a need to know
such information, and to individuals authorized in writing by the
contractor employee.

b\. Investigative information obtained under a pledge of confidence will
be controlled in accordance with the restrictions that the investigating
agency of record has placed on it. Such restrictions normally preclude
divulging it to the subject of the investigation.

c\. OPM ROI's may be disseminated to authorized agency officials on a
strict need-to-know basis. SSE's are responsible for deciding on the
extent of dissemination and may furnish summaries or extracts of
investigative reports in lieu of disseminating the reports themselves.

d\. Medical reports included as part of an investigation will be
carefully controlled to ensure that the information they contain is
disseminated only to persons who need it for suitability adjudication.
These records will be released to operating office managers only through
aviation medical officials, who will interpret the medical information
to those management officials who have a need to know.

e\. ROI's, CSF's, and other records that contain classified information
and sensitive but unclassified information will be protected in
accordance with the latest edition of Order 1600.2, Safeguarding
Controls and Procedures For Classified National Security Information And
Sensitive Unclassified Information.

f\. All CSF's, ROI's, personal history statements (including SF-85P's),
and other contractor personnel security records and documents which
contain information of a personal or privileged nature will be
protected, transmitted, stored, and destroyed in accordance with the
latest editions of Orders 1600.2 and 1280.1. No employee will have
unrestricted access to any such records on himself or herself and
employees will have access to CSF's only as provided by paragraph 209g.

\(1\) As a minimum, these records will be considered "For Official Use
Only." It is not necessary to mark individual documents and records "For
Official Use Only," as

long as they are retained in the CSF. If these records are transmitted
outside the CSF, they will be individually marked "For Official Use
Only."

\(2\) All ROI's will be stored in a combination locked cabinet or safe
or other equally secure area.

\(3\) All SSE personnel must ensure need-to-know before releasing ROI's,
or extracts or summaries of these reports, to anyone outside the SSE.
Persons outside the SSE who review ROI's will sign FAA Form 1600-12,
Investigative Record Review, acknowledging that they understand their
obligation to protect the information. Individuals reviewing
investigative information pertaining to themselves need not sign such an
acknowledgment.

g\. [Privacy Act requirements]{.underline}. In responding to requests
under the Privacy Act for disclosure of information in CSF's and/or
ROI's, FAA personnel will follow all requirements of the latest edition
of Order 1280.1. However, no ROI completed by another Federal agency
will be released in response to a Privacy Act request without the
consent of that agency. FAA is not authorized to release such a report
outright, as that is the prerogative of the agency that prepared it. If
an individual asks for a copy of his or her CSF and the CSF contains
another agency's ROI, the person will be told that the CSF contains the
report, which agency prepared it, and that the FAA is not authorized to
release it without the other agency's consent. In such a case, the FAA
personnel responding to the request will follow the procedures stated in
Order 1280.1 concerning records that originated outside FAA. In the case
of an OPM ROI, and because OPM has requested this procedure, the
individual must be told to contact OPM directly to ask for a copy.

h\. FAA personnel receiving third party for records must follow the
procedures for responding to them as outlined in the latest editions of
Orders 1270.1 and 1280.1. Such requests must be in writing.

\(1\) A third party request for records coming in under the Privacy Act
only must have a signed statement by the first party to whom the record
pertains granting the FAA permission to release the records to the
specific third party before FAA personnel may do so.

\(2\) If a third party request for records does not include a signed
statement from the first party to whom the record pertains, and if the
record requested is specifically part of the Privacy Act system of
records and identifies the individual by name, social security number,
or other specific identification, the request must be processed under
the provisions of the Freedom of Information Act (FOIA).

\(3\) If the information for a third party request is found in general
records not identified by the individual's name, social security number,
or other specific identification, FAA personnel must respond to the
request under the provisions of the FOIA.

\(4\) If the request concerns a deceased individual, FAA personnel must
respond to it under the provisions of the FOIA.

210\. [Annual review of DD FORMS 254]{.underline}. Annually on the
anniversary date of the contract or more often if required by the NISPOM
or other DOD regulation, the operating office must review all DD Forms
254 for accuracy and currency. If changes are necessary, the operating
office and the contracting office, in coordination with the SSE, must
issue a revised DD Form 254, preparing it as specified in the NISPOM or
other DOD regulation. If no change is necessary, the operating office
will notify all holders of the DD Form 254 that it is current in all
respects.

211.-299. [RESERVED]{.underline}.

CHAPTER 3. POSITION RISK/SENSITIVITY LEVEL DESIGNATION

300\. [POSITION RISK/SENSITIVITY LEVEL DESIGNATION]{.underline}. All
contractor positions must be designated as to their level of risk in
terms of suitability and access to automated information systems (AIS)
and level of sensitivity in terms of the national security.

a\. [Risk Level Designation]{.underline}. Every contractor position will
be designated at a risk level commensurate with the public trust
responsibilities and attributes of the position as they relate to the
efficiency of the service. Suitability risk levels are ranked according
to the degree of adverse impact on the efficiency of the service that an
unsuitable person could cause. Every position where the incumbent has
access to or the responsibility for AIS facilities, systems, or
activities must be designated at a risk level commensurate with the
responsibilities and other attributes of the position based on the
extent to which an incumbent could cause damage to an AIS or realize
significant personal gain.

b\. [Sensitivity Designation]{.underline}. Every position having
national security duties must be designated at a sensitivity level
necessary to ensure appropriate screening under E.O. 10450 and E.O.
12968. Sensitivity designation is based on an assessment of the degree
of damage that an individual occupying a particular position could cause
to the national security.

301\. [RESPONSIBILITY FOR POSITION DESIGNATIONS]{.underline}. The
operating office, working with the SSE and other management officials,
is responsible for designating the risk or sensitivity levels of every
contractor position within its jurisdiction. SSE's are responsible for
authorizing contractor position risk and sensitivity level designations.
Designations may be by class, group, or categories of positions, when
appropriate, or may be by an individual position when circumstances
warrant doing so. ACO-300 will work with field SSE's and headquarters
offices and services as necessary to ensure uniform designations for
positions common in more than one region or center. Refer to Order
1600.73, chapter 3, for minimum risk and sensitivity level requirements
and the procedures for determining risk and sensitivity levels.

302\. [RISK LEVELS]{.underline}. There are three position risk levels:

a\. [High Risk]{.underline}. These are public trust positions that have
the potential for ***exceptionally serious*** impact involving duties
especially critical to the agency or a program mission with broad scope
of policy or program authority. This level includes positions that have
***major*** program responsibilities affecting AIS.

b\. [Moderate Risk]{.underline}. These are public trust positions that
have the potential for ***moderate to serious*** impact involving duties
of considerable importance to the agency or program mission with
significant program responsibilities and delivery of customer

services to the public. This level includes positions that have
***significant*** program responsibilities which affect large AIS.

c\. [Low Risk]{.underline}. These are positions that have potential for
impact involving duties of ***limited*** relation to the agency mission
with program responsibilities that affect the efficiency of the service.
This level includes positions that have limited impact on AIS.

303\. [SENSITIVITY LEVELS]{.underline}. There are three levels for
designating the sensitivity of positions with regard to the national
security:

a\. [Special-sensitive (SS)]{.underline}. These are positions involving
the highest degree of trust that require access, or afford ready
opportunity to gain access, to any information which is controlled under
a Special Access Program as Sensitive Compartmented Information (SCI).

b\. [Critical-sensitive (CS)]{.underline}. These are positions with the
potential for causing ***serious to exceptionally grave damage*** to the
national security and that require access, or afford ready opportunity
to gain access, to Secret or Top Secret classified information and
material as described in E.O. 12958.

c\. [Noncritical-sensitive (NCS)]{.underline}. These are positions with
the potential for causing up to ***serious damage*** to the national
security and that require access, or afford ready opportunity to gain
access, to information classified up to the Secret level as described in
E.O. 12958.

304\. [DESIGNATION GUIDELINES]{.underline}. Operating offices, in
consultation with the SSE's, will use the position risk/sensitivity
level designation process outlined in Order 1600.73, chapter 3, to
ensure contractor positions are designated uniformly and consistently.
This process includes the criteria for designating risk levels based on
AIS duties and responsibilities.

a\. All contractor positions requiring access to classified information
are sensitive and will be designated at one of the three sensitivity
levels specified under

paragraph 303 of this order. These positions, particularly those
requiring Top Secret or SCI access, can frequently be designated at the
appropriate sensitivity level without applying the more detailed
procedures outlined in Order 1600.73, chapter 3. However, if the duties
and responsibilities of a sensitive position would warrant designation
as a high-risk position, the position *must* be designated at least
critical-sensitive, even if the level of access required is no higher
than Secret.

b\. In many cases, particularly at the low-risk level, position risk is
relatively clear and it may not be necessary to apply all of the
specific designating procedures outlined in Order 1600.73, chapter 3.
Similarly, essentially identical positions may require only occasional
case-by-case analysis.

305\. [DOCUMENTING POSITION RISK/SENSITIVITY LEVEL
DESIGNATIONS]{.underline}.

a\. Position risk and sensitivity level designations for contractor
employees will be recorded on FAA Form 1600-77. A blank form is
contained in Order 1600.73, appendix 2, and instructions for completing
the form accompanied by a sample completed form are contained in Order
1600.73, chapter 3. Each contracting office, logistics management
division, or real estate contracting office will maintain all original
forms completed for contractor employee positions within their area of
responsibility. The SSE should retain copies of these completed,
approved forms when available in hard copy format. (Note: Since the
FAA's procurement process is largely automated, all documents associated
with each contract may be maintained electronically by the responsible
contracting or logistics office.)

b\. The following codes for position risk and sensitivity levels are
required Governmentwide for Federal positions; therefore, these codes
will be used on all contractor employee documentation. AIS positions
will be identified by the letter "C" after the numerical code.

  ---------------------------------------------------- ------------------
  **RISK/SENSITIVITY LEVEL**                           **CODE**

  High risk                                            6

  Moderate risk                                        5

  Special-sensitive                                    4

  Critical-sensitive                                   3

  Noncritical-sensitive                                2

  Low risk                                             1
  ---------------------------------------------------- ------------------

306.-399 [RESERVED]{.underline}.

CHAPTER 4. INVESTIGATIVE REQUIREMENTS

400\. [INTRODUCTION]{.underline}. This chapter prescribes the FAA's
minimum investigative requirements and exceptions to those requirements
for contractor employee positions. The position risk or sensitivity
level, and in some cases the security clearance required of a person
holding the position, govern the type of investigation required. Refer
to: 1) chapter 2 for policy regarding the initiation of required
investigations; 2) chapter 3 for policy regarding designation of
position risk and sensitivity levels; and 3) Order 1600.73, Contractor
and Industrial Security Program Operating Procedures, for specific
procedures involved in implementing and/or completing those actions.

401\. [TYPES OF BACKGROUND INVESTIGATIONS]{.underline}. The following
investigations conducted by the Office of Personnel Management (OPM)
apply to FAA's Contractor and Industrial Security Program.

a\. [Standard initial investigations]{.underline}:

\(1\) Fingerprint Check.

\(2\) National Agency Check (NAC).

\(3\) National Agency Check and Inquiries (NACI).

\(4\) National Agency Check, Law Enforcement, and Credit (NACLC).

\(5\) Minimum Background Investigation (MBI).

\(6\) Limited Background Investigation (LBI).

\(7\) Background Investigation (BI).

\(8\) Single Scope Background Investigation (SSBI).

\(9\) Reimbursable Suitability/Security Investigation (RSI).

b\. [Reinvestigations]{.underline}:

\(1\) Periodic Reinvestigation (PRI).

\(2\) Periodic Reinvestigation for Single Scope Background Investigation

(SSBI-PR).

c\. [Upgrade investigations]{.underline}:

\(1\) SGI - upgrade a BI to an SSBI.

\(2\) BGI - upgrades an LBI to a BI.

\(3\) LGI - upgrades an MBI to an LBI.

d\. [Update investigations]{.underline}:

\(1\) SDI - updates an SSBI.

\(2\) BDI - updates a BI.

\(3\) LDI - updates an LBI.

402\. [INVESTIGATIVE SCOPE]{.underline}. The scope of each investigation
identified above is outlined in Appendix 1, Glossary, with the exception
of the upgrade and update investigations. At a minimum, all
investigations cover the most recent 3 years of a person's life. These
investigations will not normally extend back beyond a person's l6th
birthday unless necessary to obtain a minimum of 3 years of coverage or
to resolve an issue.

a\. [Upgrade investigations]{.underline}. The scope of these
investigations is determined by the type of investigation each is being
upgraded to. For example, when upgrading a BI to an SSBI, OPM must
reaccomplish the items conducted during the BI in order to obtain the
10-year coverage required by the SSBI and must conduct a search of the
person's birth records.

b\. [Update investigations]{.underline}. The type of investigation that
is being updated determines the scope of these investigations. For
example, the items covered in a BI would still be covered in the BDI,
but the *period* of coverage would be dictated by the amount of time
that has passed since the BI was completed not to exceed 5 years.

c\. [Expanded Coverage]{.underline}. OPM will expand a background
investigation in scope and coverage as necessary to resolve an issue.

d\. [Extra Coverage]{.underline}. There may be circumstances under which
additional coverage may be required in order to ensure sufficient
information upon which to base a suitability determination. SSE's may
request any of these extra coverage items and may negotiate with OPM for
other special coverage, if warranted by the position or by known
suitability issues. To meet the extra requirements, OPM investigators
will include additional questions concerning the subject of the
investigation when conducting personal interviews and/or conducting
additional records search as requested.

\(1\) Managerial/supervisory attributes, which include ability to speak
and write clearly and concisely; scope, quality, and extent of
supervisory experience; ability to get people to work together
effectively; resourcefulness; initiative; adaptability; judgment;
discretion; ability to cooperate with coworkers, supervisors, and
subordinates; and possible conflicts of interest.

\(2\) Public contact attributes, which include ability to meet and deal
with all types of people, diplomacy, tact, personal appearance, and
speaking ability.

\(3\) Law enforcement attributes, which include ability to react to
emergencies and conditions of stress, maturity, stability, judgment, and
discretion.

\(4\) Foreign travel and diplomacy attributes, which include ability to
represent the U.S. Government favorably; ability to meet and deal
successfully with foreign nationals; ability to adjust to a foreign
environment; and whether there are any prejudices, defects in judgment,
personal problems, traits, or weaknesses which might discredit the

United States should the person be required to travel to a foreign
country on behalf of the FAA. (Refer to FAA Order 1600.61A, Foreign
Travel Briefing and Contact Reporting Requirements for FAA and
Contractor Employees.)

403\. [INVESTIGATIVE REQUIREMENTS]{.underline}. Contractor employees
having comparable exposure to FAA facilities, sensitive information,
and/or resources will be subject to the same investigative requirements
as FAA employees, based on the risk level of their positions, except for
the low-risk positions identified below. At a minimum, no contractor
employee may begin work until the SSE has received all necessary
investigative forms, resolved any issues, and provided written notice to
the contracting office authorizing the contractor employee to begin
work. (Refer to Order 1600.73, appendix 2, for sample written
authorizations.)

a\. [High-risk positions]{.underline}. All contractor employees in these
positions will be subject to an initial BI and a reinvestigation every 5
years or upon renewal of the contract, whichever is greater but not to
exceed 5 years. This investigation will be completed and favorably
adjudicated before the employee is allowed to perform the duties of the
position, unless a determination is made under the requirements
stipulated in chapter 6, paragraph 602 of this order. Refer to Order
1600.73, chapter 4, paragraph 402a, for specific requirements that also
apply to high-risk positions established for given circumstances.

b\. [Moderate-risk positions]{.underline}. All contractor employees in
these positions will be subject to at least an NACI investigation. Refer
to Order 1600.73, chapter 4, paragraph 402b, for specific requirements
that also apply to moderate-risk positions established for given
circumstances.

\(1\) Whenever possible, the NACI should be completed and favorably
adjudicated prior to commencement of work by the contractor employee,
unless a determination is made under the requirements stipulated in
paragraph 602.

\(2\) When there is evidence that a contract air traffic controller has
had prior military service, the person's name, branch of service, date
and place of birth, social security number, and separate service number,
if applicable, will be sent to the FAA representative at the National
Personnel Records Center, St. Louis, Missouri. The FAA representative
will review the person's military records and provide the results to the
requesting SSE.

c\. [Positions in the Office of the Associate Administrator for Civil
Aviation Security (ACS)]{.underline}. An LBI will be the minimum
investigative requirement for all contractor employees filling security
positions within ACS and subordinate offices, unless access to
classified information is required. The LBI will be completed and
favorably adjudicated prior to commencement of work by the contractor
employee, unless a determination is made under the requirements
stipulated in paragraph 602 of this order. Refer to

Order 1600.73, chapter 4, paragraph 402c, for specific requirements that
also apply to these positions established for given circumstances.

d\. [Low-risk positions]{.underline}. Except as otherwise specified in
paragraphs 403e-h and j-l, the minimum investigative requirement for
contractor employees in low-risk positions is a fingerprint check.

e\. [Critical-area low-risk positions]{.underline}. The minimum
investigative requirement for contractor employees in these positions
will be an NACI. The categories of positions affected *may* include air
traffic control, critical AIS, AIS penetration testing, weapon carrying,
communications, and those located in or having access to sensitive areas
and security offices (this refers to support positions within security
offices and does ***not*** refer to actual security positions). Whenever
possible, the investigation should be completed and favorably
adjudicated prior to commencement of work by the contractor employee,
unless a determination is made pursuant to paragraph 602 of this order.
Refer to Order 1600.73, chapter 4, paragraph 402e, for specific
requirements that may also apply to these positions established for
given circumstances.

f\. [Fiduciary low-risk positions]{.underline}. The minimum
investigative requirement for contractor employees who perform fiduciary
duties or support FAA positions with fiduciary responsibilities is an
NACI and a credit check. Credit checks will be conducted at least once
every 5 years or upon renewal of the contract, whichever is greater,
regardless of other investigative requirements that may apply. Refer to
Order 1600.73, chapter 4, paragraph 402e, for specific requirements that
also apply to these positions established for given circumstances. The
positions affected by this requirement include, but are not limited to,
contracting officers (CO), contract specialists, cashiers, and other
positions:

\(1\) Whose major responsibility involves the authority or ability to
obligate, control, or expend public money or items of monetary value; or

\(2\) That support Federal employees in positions whose major
responsibility involves the authority or ability to obligate, control,
or expend public money or items of monetary value.

g\. [Noncritical area low-risk AIS positions]{.underline}. The minimum
investigative requirement for these positions including, but not limited
to, supply contractors and/or contractors who provide computer hardware,
software, and/or services or supplies including commercial-off-the-shelf
(COTS) computer hardware, software, and/or services, that are filled by
contractor employees will be a fingerprint check, unless

exempt in accordance with the requirements stipulated in paragraphs 403i
and 409 of this order. However, the investigative requirements may vary
based on the position risk level, length of the contract or other
agreement, nature and extent of access to sensitive FAA information,
resources and AIS, and whether such access will be escorted or
unescorted. Refer to Order 1600.73, chapter 4, paragraph 402g, for
specific requirements that may also apply to these positions established
for given circumstances.

h\. [Escort positions (low-risk)]{.underline}. When contractor employees
are used to escort other contractor employees, the minimum investigative
requirement will be an NACI. The NACI will be completed and favorably
adjudicated before the contractor employee can perform the escort
duties. The interim suitability determination requirements specified in
paragraph 602 may not be applied to these positions.

i\. [Temporary positions]{.underline}. Contractor employees in low-risk
positions that are intermittent, seasonal, per diem, or temporary and
who do not work on or provide services or materials under an FAA
contract in excess of 180 days in either a single assignment or a series
of assignments ***may*** be exempt from any investigative requirement.
***The 180-day rule is not calculated on a 24-hour clock. The "180 days"
refers to days within a calendar year, regardless of how many hours in a
given day the contractor employee actually works. For example, if a
contractor employee works one hour each day or one hour three days per
week, each day in which the contractor employee works regardless of how
many hours represents one day.*** The categories of positions may
include COTS contractors and supply contractors. This does not preclude
the SSE from investigating the person under the normal investigative
requirements if it is determined that the contractor employees will
require access to sensitive FAA information, resources and AIS, and/or
unescorted access to FAA facilities. All contractor employees determined
to be exempt from any investigative requirement must be escorted in
accordance with the requirements outlined in paragraph 410.

j\. [Construction workers]{.underline}. Investigative requirements for
these low-risk positions will vary depending on the location and type of
construction. Construction workers employed longer than 180 days will
have, at a minimum, a fingerprint check. However, in determining whether
or not to conduct *any* investigation of these employees, the SSE and
the operating office will consider the work site location, type of
construction to be performed, and the extent of the contractor
employee's access, particularly unescorted access, to FAA facilities,
sensitive information, and/or resources. This does not preclude the SSE
from investigating the person under the normal investigative
requirements if it is determined that a construction work will require
access to sensitive FAA information, resources, and AIS, and/or
unescorted access to FAA facilities. All construction workers whose
access will not exceed 180 days and for whom a determination has been
made that they will be exempt from any investigative requirement
pursuant to paragraph 403i must be escorted in accordance with the
requirements outlined in paragraph 410.

k\. [Delivery personnel and repair technicians]{.underline}. Delivery
personnel and repair technicians, such as water, vending machine,
Federal Express, and United Parcel Service delivery persons, copier
repair technicians, etc., are low-risk positions. The investigative
requirements will vary depending on the length of the contract, extent
of access to FAA

facilities, sensitive information, and/or resources, and whether or not
these persons will be escorted. When it is determined that a delivery
person or repair technician is exempt from investigation because their
access to FAA facilities, sensitive information, and/or resources will
be minimal, they will be escorted in accordance with the requirements
outlined in paragraph 410.

l\. [Contract janitorial, construction, maintenance, property
management, and repair workers (low-risk positions) in leased
facilities]{.underline}.

\(1\) When FAA occupies a GSA-leased facility and GSA has contracted for
janitorial, construction, maintenance, property management, or repair
work, GSA is responsible for conducting background investigations on
these workers unless they are exempt pursuant to paragraph 403i. GSA
will make the suitability determinations and provide written
notification to FAA listing the names of the cleared workers.

\(a\) The minimum investigative requirement will be a fingerprint check.

\(b\) Workers who are exempt pursuant to paragraph 403i must be escorted
in accordance with the requirements outlined in paragraph 410.

\(2\) When FAA occupies a GSA-leased facility and has delegated
authority to contract for janitorial, construction, maintenance,
property management, or repair work, FAA will be responsible for
conducting the background investigations and making the suitability
determinations on these workers unless they are exempt in accordance
with paragraph 403i.

\(a\) The minimum investigative requirement will be a fingerprint check.

\(b\) Workers who are exempt pursuant to paragraph 403i must be escorted
in accordance with the requirements outlined in paragraph 410.

\(3\) When FAA occupies a GSA-leased facility where under the lease
agreement the lessor provides janitorial, construction, maintenance,
property management, or repair services and the FAA has not been
delegated investigative authority, GSA is responsible for conducting the
background investigations on these workers unless they are exempt
pursuant to paragraph 403i. GSA will make the suitability determinations
and provide written notification to FAA listing the names of the cleared
workers. The lessor (owner or owner's representative) is responsible for
providing all necessary information and investigative forms to GSA on
the contract workers providing these services.

\(a\) The minimum investigative requirement will be a fingerprint check.

\(b\) Workers who are exempt pursuant to paragraph 403i must be escorted
in accordance with the requirements outlined in paragraph 410.

\(4\) When FAA occupies a direct lease facility and FAA contracts
separately for janitorial, construction, maintenance, property
management, or repair work, under the

lease agreement FAA will be responsible for conducting the background
investigations and making the suitability determinations on such workers
unless they are exempt pursuant to paragraph 403i.

\(a\) The minimum investigative requirement will be a fingerprint check.

\(b\) Workers who are exempt pursuant to paragraph 403i must be escorted
in accordance with the requirements outlined in paragraph 410.

\(5\) When FAA leases from a lessor a facility that includes janitorial,
construction, maintenance, property management, or repair services,
contracted for by the lessor, FAA will be responsible for conducting the
background investigations on these workers unless they are exempt
pursuant to paragraph 403i. FAA will make the suitability
determinations. The lessor will ensure the contract workers providing
these services submit all required investigative forms and any requested
information to the FAA within 10 days, but not more than 30 days, of the
lease commencement date.

\(a\) The minimum investigative requirement will be a fingerprint check.

\(b\) Workers who are exempt from investigation pursuant to paragraph
403i must be escorted in accordance with the requirements outlined in
paragraph 410.

404\. [SPECIAL CIRCUMSTANCE INVESTIGATIVE REQUIREMENTS]{.underline}. The
FAA often occupies facilities that are occupied by one or more other
tenants. Some of these tenants may have separate, ground-floor entrances
and some may access their space by passing through FAA or public spaces.

a\. There is currently no requirement or provision for the processing of
other Government agency personnel, private industry concerns, or tenants
such as credit unions or cafeterias located in facilities also occupied
by the FAA but that are not on the FAA payroll and do not occupy FAA
space.

b\. When FAA occupies facilities that are occupied by one or more other
tenants such as a credit union or cafeteria where these tenants have
separate access to their occupied space, no personnel employed by these
tenants will be issued FAA badges or building passes or will be allowed
access to FAA-occupied space without escort.

c\. When FAA occupies facilities that are occupied by one or more other
tenants such as a credit union or cafeteria where these tenants have
internal access to and/or must pass through FAA-occupied space to access
their occupied space, no personnel employed by these tenants will be
issued FAA badges or building passes. No security screening will be
conducted on these persons unless the FAA negotiates specific provisions
for conducting such screenings with the lessor and the provisions are
included in the contract or other agreement between the lessor and the
tenant(s). The responsible RECO must negotiate with the lessor for
inclusion of the

specific requirement to conduct security screenings on other tenants who
must pass through FAA-occupied space to access their space in the lease
agreement. The RECO and operating office must then ensure that no
persons enter FAA space until authorized to do so by the SSE. Such
authorization must be in writing in accordance with paragraphs 410
and/or 602.

405\. [INVESTIGATIVE REQUIREMENTS FOR ACCESS TO CLASSIFIED
INFORMATION]{.underline}. As stated in chapter 1, the Department of
Defense (DOD) through the Defense Security Service (DSS) conducts the
background investigations on all contractor employees who require access
to classified information. The SSE is not required to make
investigative, final suitability, or security determinations on such
contractor employees. However, all SSE's should be familiar with the
investigative requirements and the processes involved in granting
contractor employees security clearances for access to classified
information. The investigative requirements for access to classified
information by contractor employees parallel the requirements for
comparable FAA Federal employee positions.

a\. [Special-sensitive positions]{.underline}. The minimum investigative
requirement for a contractor employee in a special-sensitive position
requiring access at the SCI level is an SSBI. The investigation must be
completed, evaluated, and favorably adjudicated for both suitability and
security ***before*** the person can be authorized to begin work. The
interim suitability determination provisions under paragraph 602 may
***not*** be applied to these positions. However, the person
***cannot*** have access to any classified information until the SSE
receives notification from DOD that a security clearance has been
granted and the contractor employee receives the required security
briefing and signs SF 312, Classified Information Nondisclosure
Agreement. Refer to Order 1600.73, chapter 4, paragraph 404a, for
additional requirements that apply to special-sensitive positions
established for given circumstances.

b\. [Critical-sensitive positions]{.underline}. The minimum
investigative requirement for a contractor employee in a
critical-sensitive position is a BI for access up to the Secret level
and an SSBI for access up to the Top Secret level. The investigation
must be completed, evaluated, and favorably adjudicated for both
suitability and security ***before*** the person can be authorized to
begin work. The interim suitability determination provisions under
paragraph 602 may ***not*** be applied to these positions. However, the
person ***cannot*** have access to any classified information until the
SSE receives notification from DOD that a security clearance has been
granted and the contractor employee receives the required security
briefing and signs an SF-312. Refer to

Order 1600.73, chapter 4, paragraph 404b, for additional requirements
that apply to critical-sensitive positions established for given
circumstances.

c\. [Noncritical-sensitive positions]{.underline}. The minimum
investigative requirement for a contractor employee in a
noncritical-sensitive position that does not require access up to the
Secret level is an NACLC unless otherwise specified in this order. If
the position requires access up to the Secret level, the minimum
investigative requirement is a BI. The investigation must be completed,
evaluated, and favorably adjudicated for both

suitability and security ***before*** the person can be authorized to
begin work. The interim suitability determination provisions under
paragraph 602 may ***not*** be applied to these positions. When the
position requires access to classified information, the person
***cannot*** have access to any classified information until the SSE
receives notification from DOD that a security clearance has been
granted and the contractor employee receives the required security
briefing and signs an SF-312. Refer to Order 1600.73, chapter 4,
paragraph 404c, of this order for additional requirements that apply to
nonsensitive positions established for given circumstances.

406\. [INVESTIGATIVE REQUIREMENTS FOR AIS ACCESS]{.underline}. A person
has AIS access when he or she can exercise privileges to read and/or
write information or other data electronically stored or processed in a
digital format. Contractor personnel security is an integral part of AIS
security in order to ensure sufficient protection for the systems and
their data. Because of the nature of AIS and the ease with which large
amounts of data can be retrieved, manipulated, and deleted, access
requirements are in some cases more stringent than for the same level of
data contained in records systems outside AIS.

a\. [Positions requiring Level I AIS access]{.underline}. AIS Access
Level I is the authorization to read or write classified information or
data electronically stored in a digital format. The minimum
investigative requirement is dictated by the position sensitivity level
and the level of security clearance required. Refer to paragraph 405a,
b, or c of this order and Order 1600.73, chapter 4, paragraph 404, to
determine specific investigative requirements.

b\. [Positions requiring Level II AIS access]{.underline}. AIS Access
Level II is the authorization to read or write sensitive and/or Privacy
Act information or data electronically in a digital format. The minimum
investigative requirement will be a fingerprint check or an NACI as
dictated by the position risk or sensitivity level. If the position is
deemed a critical-area position, the minimum investigative requirement
will be an NACI. Refer to paragraphs 403e and g for additional
requirements that may apply to these positions.

c\. [Positions requiring Level III AIS access]{.underline}. AIS Access
Level III is the authorization to read or write unclassified and
nonsensitive information or data electronically stored in a digital
format. The minimum investigative requirement for these positions will
be a fingerprint check. If the position is deemed a critical-area
position, the minimum investigative requirement will be an NACI. Refer
to paragraphs 403e and g for additional requirements that may apply to
these positions.

407\. [INVESTIGATIVE REQUIREMENTS FOR FOREign nationals and immigrant
aliens AS CONTRACTORS]{.underline}.

a\. [Unclassified contracts]{.underline}. Foreign nationals and
immigrant aliens *may* work as contractor employees under
***unclassified*** FAA contracts with access to FAA facilities,
information, and/or resources under other agreements to which the FAA is
a party.

\(1\) Such access may only be granted if:

\(a\) A risk or sensitivity level designation can be made for the
position;

\(b\) The individual has resided within the United States for 3
consecutive years of the last 5 years, unless a waiver of this
requirement is requested and approved by ACS-1 prior to contract award
in accordance with paragraph 409b(3); and

\(c\) The appropriate security screening can be adequately conducted.

\(2\) The minimum investigative requirement for foreign nationals and
immigrant aliens who work on or provide services or supplies under an
FAA contract will be dictated by the position risk level. If the foreign
national and/or immigrant alien has not resided within the United States
for a minimum of 3 consecutive years of the last 5 years, the security
screening must include overseas coverage to the fullest extent
practicable in order to meet the minimum 3 years of coverage (refer to
paragraph 402). If the foreign national or immigrant alien has not
resided in the United States for 3 consecutive years of the last 5 years
and it is impractical to conduct a security screening that includes
overseas coverage due to a low position level, a waiver must be
requested and approved by ACS-1 prior to contract award before the
foreign national or immigrant alien can be used.

\(3\) The interim suitability requirements pursuant to paragraph 602 may
not be applied, unless the position is low risk and/or temporary and/or
is ***not*** a critical-area position.

\(4\) In any situation where the operating office and/or the SSE
determines that it is in the best interest of the FAA to restrict access
or work under a contract to United

States citizens only, the appropriate contract or other agreement will
contain a clause specifying that restriction. In determining whether or
not to apply this restriction in a given situation, the CO, logistics
management specialist (LMS), RECO, and operating office, in consultation
with the SSE, will consider the nature and extent of access,
particularly in regard to sensitive, proprietary, and classified
information

\(5\) The contracting and operating offices will determine whether to
continue with a contract requiring foreign national or immigrant alien
contractor employee participation if the foreign national or immigrant
alien is found to be unsuitable.

b\. [Classified contracts]{.underline}. Foreign nationals and immigrant
aliens may ***not*** have access to classified information or work as
contractor employees under ***classified*** FAA contracts unless there
are compelling reasons in furtherance of FAA's mission and an
appropriate security screening can be completed. A foreign national or
immigrant alien who possesses a special expertise that is unobtainable
elsewhere may, at FAA's discretion, be granted limited access to
classified information only for a specific program, project, or
contract, license, certificate, or grant for which there is a need for
such access. (Reference: E.O. 12968, Section 2.6.)

\(1\) The minimum investigative requirement will be a BI that includes
overseas coverage to the fullest extent practicable.

\(2\) If access to Top Secret classified information is required, the
minimum investigative requirement will be an SSBI.

\(3\) The interim suitability requirements pursuant to paragraph 602 may
***not*** be applied.

\(4\) The security clearances are granted by DSS. The contractor is
responsible for ensuring all appropriate investigative forms are
submitted to DSS and must provide written notification to the SSE, and
CO, LD, or RECO when DSS has granted the required security clearance.

\(5\) Foreign nationals will ***not*** be eligible for access to any
greater level of classified information than the U.S. Government has
determined may be releasable to the country of which the individual is
currently a citizen and such limited access may be approved ***only***
if the prior 10 years of the subject's life can be adequately
investigated.

408\. [Periodic Reinvestigation requirements]{.underline}. Periodic
reinvestigation requirements for contractor employees are:

a\. [Contractor employees with security clearances]{.underline}. These
investigations are monitored, controlled, conducted, and adjudicated by
DSS.

\(1\) An SSBI-PR will be conducted on contractor employees in
special-sensitive positions, holding a Top Secret clearance, within 5
years from the date of the last SSBI, SGI, SDI, or SSBI-PR.

\(2\) A PRI will be conducted on contractor employees in
critical-sensitive positions, within 5 years from the date of the last
BI, BGI, BDI, or PRI.

\(3\) An NACLC will be conducted on contractor employees in
critical-sensitive positions holding a Secret clearance, within 10 years
from the date of the last investigation or reinvestigation.

b\. [Contractor employees who do ***not*** hold security
clearances]{.underline}. A PRI will be conducted on contractor employees
in high-risk positions within 5 years from the date of the last BI, BGI,
BDI, or PRI. The SSE will review the contractor security file as part of
the PRI.

409\. [EXEMPTIONS AND EXCEPTIONS]{.underline}.

a\. [Exemption of the investigative requirements]{.underline}. The SSE
may grant approval for a contractor employee to work or provide services
or supplies under an FAA contract without conducting a background
investigation or fingerprint check if the position meets the
requirements stipulated in paragraphs 403g and i-l and the operating
office has completed an FAA Form 1600-77 that clearly identifies that
the position meets the exemption requirements. Those requirements are:

\(1\) The position is low-risk and intermittent, seasonal, per diem, or
temporary;

\(2\) The work, services, and/or delivery of supplies under an FAA
contract will not exceed 180 days total in either a single assignment or
a series of assignments in a calendar year; and

\(3\) The contractor employee will ***not*** have access or be allowed
access to FAA facilities, sensitive information, and/or resources; or

\(4\) The contractor employee will be escorted at all times by an FAA
Federal employee or an appropriately cleared contractor employee in
accordance with the requirements stipulated in paragraph 410; and

\(5\) The exemption is fully supported by the FAA Form 1600-77 for the
position and the form has been approved by the SSE.

b\. [Exceptions to the residency requirement]{.underline}.

\(1\) Persons applying for contractor employee positions under contracts
within the United States who worked in a foreign country for the U.S.
Government in a Federal position or as a member of one of the branches
of the U.S. military are exempt from the requirement to have resided in
the United States for 3 consecutive years of the last

5 years. This exception must be fully supported by the FAA Form 1600-77
for the position.

\(2\) Foreign nationals applying for contractor employee positions at
FAA locations overseas are exempt from the requirement to have resided
in the United States for 3 consecutive years of the last 5 years. This
exception must be fully supported by the

FAA Form 1600-77 for the position.

\(3\) Foreign nationals and immigrant aliens applying for positions
under contracts within the United States who are not exempt from the
investigative requirements under paragraphs 403i-l may be granted a
waiver of the requirement to have resided in the United States for 3
consecutive years of the last 5 years provided the operating office
submits a request in writing to and it is approved by ACS-1 prior to
contract award. This exception must be fully documented on the FAA Form
1600-77 for the position.

410\. [ESCORT REQUIREMENTS]{.underline}.

a\. When the SSE has determined that contractor employees or other
persons by agreement are exempt from any investigative requirement
pursuant to paragraphs 403i-l, those contractor employees or other
persons must be escorted at all times by FAA personnel or by contractor
personnel, who have been appropriately investigated, favorably
adjudicated, and authorized to provide escort, while on FAA premises and
having access to FAA facilities, sensitive information, and/or
resources. The escort must

keep the escort-required contractor employee or other person in plain
view at all times and must be constantly aware of the contractor
employee's or other person's actions.

b\. The minimum investigative requirement for contractor employees
utilized as an escort are outlined in paragraph 403h.

411\. [STANDARDS FOR USING PREVIOUS INVESTIGATIONS]{.underline}.

a\. As indicated in paragraph 403 of this order, some contractor
employees may have already been investigated by another Federal agency.
SSE's will use these investigations whenever practicable to reduce the
number of investigation requests, associated costs, and unnecessary
delays. The following standards for use of these investigations will
apply. Refer also to Order 1600.73, chapter 4, paragraphs 402 and 406,
for additional information regarding the use of these investigations and
for instructions on how to obtain copies.

\(1\) Any investigation conducted by or for another Federal agency on a
contractor employee that is of the *same type and scope* as the one
required for the position is sufficient to meet the investigative
requirements provided it was conducted within the past year or that the
contractor employee has had no break in employment in excess of 1 year
since the investigation was completed. Except where there is substantial
information indicating that an individual may not meet the suitability
standards and criteria stated in chapter 5, such an investigation will
be accepted by the FAA.

\(2\) Any investigation conducted by or for another Federal agency on a
contractor employee that is a level *higher* than that required for the
position is sufficient to meet the investigative requirements provided
it was conducted within the past year or that the contractor employee
has had no break in employment in excess of 1 year since

the investigation was completed. Except where there is substantial
information indicating that an individual may not meet the suitability
standards and criteria stated in chapter 5, such an investigation will
be accepted by the FAA.

\(3\) Any investigation conducted by or for another Federal agency on a
contractor employee whose scope is *less* than that required for the
position can be upgraded as provided for by OPM to meet the
investigative requirements of the position if it was conducted within
the past year and the contractor employee has had no break in employment
in excess of 1 year since the investigation was completed. Except where
there is information indicating that an individual may not meet the
suitability standards and criteria stated in chapter 5, such an
investigation will be accepted by the FAA in conjunction with an
upgraded investigation.

b\. SSE's must be alert when reviewing investigative forms to any
information indicating that a contractor employee may have had a
previous investigation.

c\. When a previous investigation is readily available, the SSE will
obtain and review it prior to authorizing the contractor employee to
begin work, unless a

determination is made pursuant to paragraph 602. If a determination is
made pursuant to paragraph 602, then the SSE will obtain and review the
investigation prior to making a final suitability determination.

d\. If a previous investigation is not readily available, the SSE will
obtain as much information as possible about it before authorizing the
contractor employee to begin work, unless a determination is made
pursuant to paragraph 602. If a determination is made pursuant to
paragraph 602, then the SSE will obtain and review the investigation
prior to making a final suitability determination.

e\. An investigation conducted by a state or local government agency,
regardless of how extensive it is, does ***not*** meet the investigative
requirements stipulated in

paragraph 403. However, such an investigation may provide useful
information particularly when making determinations pursuant to
paragraph 602.

412-499. [RESERVED]{.underline}.

CHAPTER 5. CONTRACTOR AND INDUSTRIAL SECURITY ADJUDICATIVE GUIDELINES

500\. [APPLICATION OF ADJUDICATIVE GUIDELINES]{.underline}. The
application of the same suitability standards and criteria to
adjudications involving contractor employees and applicants as applied
to the adjudications involving Federal employees and applicants ensures
fair, impartial, and equal consideration in the implementation of this
order.

501\. [RELATIONSHIP BETWEEN SUITABILITY AND SECURITY]{.underline}.

a\. Suitability means fitness or eligibility for employment and refers
to identifiable character traits and past conduct sufficient to
determine whether a given individual is likely or not likely to be able
to carry out the duties of a Federal job with appropriate efficiency and
effectiveness. When applying these standards and criteria to the
contractor environment, the focus is on whether use of the individual in
a contract capacity will promote the efficiency of the Federal service.
Suitability is distinguishable from a person's ability to fulfill the
qualifications requirements of a job, as measured by experience,
education, knowledge, skills, and abilities.

b\. Security, on the other hand, relates to requirements for an
individual occupying a specific position to have access to classified
information. A security determination focuses on the question of whether
or not access to such information is clearly consistent with the
interests of the national security.

c\. A security determination will usually be made subsequent to a
favorable suitability adjudication. While the SSE will make the
suitability determinations on contractor employees who will not require
access to classified information, it will normally not be involved in
making security determinations. The DSS conducts the background
investigations on all contractor employees requiring access to
classified information, makes the security determinations, and grants
the facility and security clearances.

502\. [SUITABILITY STANDARD]{.underline}. A suitability adjudication is
an assessment of past and present conduct which may indicate future
actions with adverse impact on the efficiency of the service. The
assessment is made to decide whether there is a reasonable expectation
that the use of a person under contract or other agreement to/with the
Federal agency either would or would not promote the efficiency of the
service.

a\. In making this determination, the adjudicator will consider whether
the conduct of the person indicates a potential for behavior that would
interfere with, prevent, or otherwise adversely affect:

\(1\) The performance of the person in the position applied for;

\(2\) The performance of the duties and responsibilities of others; or,

\(3\) The ability of the FAA to carry out its mandated responsibilities
fully and effectively.

b\. To determine the potential impact on the efficiency of the service,
two issues must be considered:

\(1\) Whether the conduct in question indicates a potential for
inadequate or reduced performance of specific duties; and,

\(2\) Whether the conduct indicates any immediate or long-term risk for
abuse of the public trust in carrying out the responsibilities of the
position.

503\. [SUITABILITY CRITERIA]{.underline}. When making a suitability
determination, the adjudicator may consider any of the following reasons
as a basis for finding an individual unsuitable for work or to perform
or provide services or supplies under an FAA contract. A person would
not be suitable for such work or to perform or provide such services or
supplies when, because of these factors, the potential for adverse
impact on effective performance of the person or others, or on the FAA's
ability to carry out its responsibilities, is such that there is a
reasonable expectation in the mind of the adjudicator that use of the
person for such work or to perform or provide such services or supplies
would not promote the efficiency of the service.

a\. The criteria are:

\(1\) [Misconduct or negligence]{.underline} in prior employment that
would have a bearing on efficient service in the position in question or
would interfere with or prevent the FAA from effectively accomplishing
its duties and responsibilities.

\(2\) [Criminal or dishonest conduct]{.underline} related to the duties
of the position applied for, to the person's service in the position, or
to the service of others.

\(3\) [Intentional false statement or deception or fraud]{.underline} in
examination or appointment.

\(4\) [Alcohol abuse]{.underline} of a nature and duration that suggests
that the person 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.

\(5\) [Illegal use of narcotics, drugs, or other controlled
substances]{.underline} without evidence of substantial rehabilitation.

\(6\) [Knowing and willful engagement in acts or activities designed to
overthrow the U.S. Government by force]{.underline}.

\(7\) [Any statutory or regulatory bar]{.underline} that prevents the
person's lawful employment in the position in question.

b\. [Additional Considerations]{.underline}. In making a suitability
determination, the adjudicator will also consider the following factors
to the extent he or she deems pertinent to the individual case:

\(1\) The kind of position for which the person is applying or in which
the person is employed, including the degree of public trust or risk in
the position.

\(2\) The nature and seriousness of the conduct.

\(3\) The circumstances surrounding the conduct.

\(4\) The recency of the conduct.

\(5\) The person's age at the time of the conduct.

\(6\) Contributing societal conditions.

\(7\) The absence or presence of rehabilitation or efforts toward
rehabilitation.

504\. [SECURITY STANDARD AND CRITERIA]{.underline}.

a\. As stated in chapter 1, paragraph 7c, the FAA has entered into an
agreement with the DSS granting DSS the responsibility for conducting
and adjudicating the background investigations on contractor employees
and applicants, making the security determinations, and granting the
facility and security clearances for the FAA.

b\. The granting of access to classified information to any person must
be clearly consistent with the interests of the national security as
prescribed by E.O. 12968,

Access to Classified Information. In making this determination, the
adjudicator assesses past and present conduct and considers whether or
not the granting of such access conforms to this standard. Additionally,
conduct relating to any of the criteria outlined in the Adjudicative
Guidelines for Determining Eligibility for Access to Classified
Information, a supplement to E.O. 12968 approved by the President on
March 24, 1997, is grounds for denying access to classified information
if the conduct indicates that the person would pose a risk for damage to
the national security. A determination of eligibility for access to
classified information is a discretionary security decision based on
judgments by appropriately trained adjudicative personnel. Any doubt
regarding a person's eligibility must be resolved in favor of the
national security.

c\. Security determinations must be made separate and apart from any
suitability determination. (Reference E.O. 12968, Section 2.1)

505\. [COORDINATING CONTRACTOR PERSONNEL SECURITY
INFORMATION]{.underline}. All FAA employees, supervisors, and managers,
and all contractors and contractor employees will provide the SSE with
any information they become aware of that may affect the suitability of
a contractor employee or applicant.

506.-599. [RESERVED]{.underline}.

CHAPTER 6. SUITABILITY DETERMINATIONS

600\. [APPLICATION AND RESPONSIBILITY]{.underline}. A suitability
determination must be made on every contractor employee for whom a
security screening is deemed necessary and is processed by the FAA to
work, perform services, or provide supplies under an FAA contract. This
determination is made based on the application of sound adjudicative
guidelines to security screenings, including background investigations,
fingerprint checks, and related security information concerning
contractor employees or applicants. Within FAA, SSE's are assigned all
suitability adjudication authority for contractor employees applying for
work or to perform or provide services or supplies under *unclassified*
FAA contracts. As stated in paragraph 501a of this order, the focus of
the adjudication is on whether use of a person in a contract capacity
will promote the efficiency of the service. This chapter prescribes
suitability determination requirements and the basic suitability
adjudication process for the FAA. Detailed step-by-step procedures are
outlined in Order 1600.73.

601\. [PROCESSING INVESTIGATIONS AND MAKING SUITABILITY
DETERMINATIONS]{.underline}. Investigative forms completed and submitted
by contractor employees may reveal information that raises questions
about their suitability for employment. The SSE will initiate the
required or higher-level investigation as necessary to obtain sufficient
information upon which to base a suitability determination. In the event
of a serious issue that may preclude use of an affected contractor
employee based on the information that the contractor employee provided,
the SSE may conduct a limited inquiry in an effort to quickly resolve
the issue, such as obtaining court, credit, or other record information.

a\. The SSE will apply the suitability standard and criteria stated in
chapter 5 of this order and the procedures detailed in Order 1600.73,
chapter 5, when making interim and final suitability determinations.

b\. The SSE will afford all contractor employees the opportunity to
respond to explain or refute any unfavorable information before the FAA
uses the information as a basis for denial of suitability.

c\. The SSE will coordinate with the Office of Aviation Medicine (AAM)
or its regional or center Aviation Medical Division (AMD) on any reports
of investigation or other information that raises a question about a
contractor employee's physical or mental fitness to work or provide
services or supplies in a given position under an FAA contract.

d\. If a contractor employee will be filling a sensitive position
requiring access to classified information, the SSE must obtain written
notification from the DOD when a security clearance has been granted.

602\. [INTERIM SUITABILITY DETERMINATIONS]{.underline}. An interim
suitability determination is a preliminary assessment that allowing a
contractor employee to begin work or to provide services or supplies
under an FAA contract prior to completion and adjudication of the
requisite security screening would involve little or no risk to the
security posture of the FAA and would be in the best interest of the
FAA. However, these determinations are not automatic. SSE's may grant
approval for a contractor employee to begin work or to provide services
or supplies under an FAA contract prior to completion and adjudication
of a background investigation or fingerprint check providing the
following conditions have been met. The provisions of this paragraph and
its subparagraphs may ***not*** be applied to special-sensitive,
critical-sensitive, and noncritical- sensitive positions.

a\. [Requests for interim suitability determinations]{.underline}.

\(1\) Operating offices may request an interim suitability determination
on a contractor employee if: (Refer to Order 1600.73, chapter 5, and
appendix 2, for step-by-step instructions and a sample request
memorandum.)

\(a\) A clear and compelling need for the work, services, or supplies to
begin prior to completion of the required security screening exists.

\(b\) No significant security or suitability issues exist, including:

*1.* Any convictions resulting in incarceration of 1 year or more,
regardless of when the conviction and incarceration occurred.

*2.* Any arrests or charges within the last 5 years.

*3.* Any drug-related arrests, regardless of when they occurred.

*4.* More than one arrest, regardless of when they occurred.

*5.* Any discharge from employment or resignation after being told he or
she would be fired within the last 5 years.

\(2\) Requests for interim suitability determinations must be in writing
and must be submitted to the SSE as soon as practicable prior to the
start date. Allow a minimum of 3 weeks for processing of high-risk
positions. Requests must include the following:

\(a\) Reason for the request; e.g., critical operational impact if the
contractor employee(s) cannot be placed in the position at the present
time or by a particular date.

\(b\) Name and social security number of each affected contractor
employee.

\(c\) Risk or sensitivity level for each affected position.

\(d\) Title and location of each affected position.

\(e\) If the person will be filling a sensitive position, the level of
security clearance required, a justification of the need for that
clearance, and a statement that the person will ***not*** have access to
classified information until the required investigation is completed and
the SSE has notified the operating office that the requisite clearance
has been granted.

\(f\) Any discharge from employment involving drug or alcohol use or a
question of the applicant's integrity, regardless of when it occurred.

\(3\) Operating offices should ***not*** advise the CO, LD, or RECO of a
firm starting date for any contractor employee until the SSE provides
written approval or the security screening requirements have been met.

b\. [Interim suitability requirements]{.underline}. Requests for interim
suitability determinations will ***not*** be approved until the SSE has
received and reviewed all required investigative forms for each affected
contractor employee, resolved any issues, and authorized the affected
contractor employee to begin work in writing. In addition to these
requirements, the following actions must be completed for high-risk
positions. (Refer to

Order 1600.73, chapter 5, and appendix 2 for step-by-step instructions
for making these determinations and sample written authorizations.)

\(1\) Review the contractor employee's SF 85-P.

\(2\) Obtain and adjudicate fingerprint check results.

\(3\) Conduct a credit check.

\(4\) Conduct a check of the affected contractor employee's current or
most recent former employer.

\(5\) If the affected contractor employee is a current or former Federal
employee, review the official personnel folder (OPF) and personnel
security file (PSF), if available. If the affected contractor employee
is currently employed outside the SSE's area of responsibility, contact
the appropriate SSE to accomplish the OPF and PSF reviews.

\(6\) Obtain the results of searches of the Defense Clearance and
Investigations Index (DCII) and OPM's Security and Suitability
Investigations Index (SII).

\(7\) Conduct a subject interview covering, but not limited to, past and
present employment, education, and residences; arrests and convictions;
use of alcohol and

illegal drugs; mental health; and financial responsibility. The affected
contractor employee will also be asked if there is anything in his or
her background that could raise questions of personal character or
loyalty to the United States.

\(8\) Initiate the required investigation.

\(9\) The SSE may conduct appropriate local agency checks that are
readily available if deemed necessary to making an interim suitability
determination.

603\. [FINAL SUITABILITY DETERMINATIONS]{.underline}. SSE's will make
final suitability determinations on all contractor employees in
positions that do ***not*** involve access to classified information.
The SSE will apply the suitability standard and criteria stated in
chapter 5 of this order and the procedures detailed in Order 1600.73,
chapter 5, when making final suitability determinations.

a\. The SSE must notify the CO, LMS, or RECO in writing of all final
suitability determinations.

b\. Final suitability determinations will only be made after receipt,
review, and adjudication of the appropriate completed background
investigation or fingerprint check. Adjudication will include resolution
of all issues if applicable.

c\. Incomplete investigations may be adjudicated in accordance with
paragraph 604 below.

604\. [DISPOSITION OF INCOMPLETE INVESTIGATIONS]{.underline}. An
investigation received from OPM that is substantially complete, even if
not entirely complete, may be adjudicated for suitability if the SSE
determines that the outstanding portion is ***not*** likely to help
resolve any issues or impact final adjudication. Such an investigation
may be considered complete for the purpose of meeting the requirements
of paragraph 602 provided there are no outstanding issues requiring
resolution and all other requirements of paragraph 602 have been met.

605\. [DOCUMENTATION AND NOTIFICATION]{.underline}.

a\. All interim and final suitability determinations must be clearly
documented. In any case where there are serious issues, the
documentation will contain a clearly written rationale stating that the
use of the individual on an FAA contract would or would not promote the
efficiency of the service. The SSE will maintain this record for at
least

2 years from the date of the adjudication.

b\. The SSE will notify the CO, LMS, or RECO, in writing, upon making a
final favorable suitability determination. (Refer to Order 1600.73,
appendix 2, for a sample notification.)

c\. When a determination of unsuitability is made, the SSE will notify
the CO, LMS, or RECO, in writing, stating the nature of the proposed
action and the specific detailed reasons for it. If the SSE has found
the individual unsuitable as the result of either position risk
adjudication or position performance adjudication, the notification

must specify that the individual has been found unsuitable for
employment under any FAA contract. The notification must also include
specific statements about any applicable due process rights afforded the
individual.

d\. In any case where the SSE proposes denial of suitability, it will
maintain copies of *all* documentation pertinent to the adjudication,
including letters or memorandums of proposed action; written challenges,
replies, or documentation supplied by the affected contractor employee;
and a written summary of any oral response. The SSE will maintain this
documentation for at least 2 years from the date of the final decision.

e\. The SSE will report to OPM any final adjudicative action based on an
OPM report of investigation or a file OPM furnishes in response to a
check of its SII. The SSE will use the appropriate investigative agency
form(s) to report the action taken and will retain a copy of the form in
accordance with paragraph 207c of this order. (Refer to

Order 1600.73, chapter 5 and appendix 2 for step-by-step instructions
and sample forms.)

606.-699. [RESERVED]{.underline}.

CHAPTER 7. Quality Assurance

700\. [Introduction]{.underline}. The purpose of this chapter is to
establish a quality assurance program in support of the FAA Contractor
and Industrial Security Program. By establishing this program, the FAA
makes a formal commitment to constantly strive to increase the
effectiveness and efficiency of the Contractor and Industrial Security
Program.

a\. The objective of any quality assurance program is to ensure that the
procedures and processes of a specified program lend themselves to
accomplishing the mission(s) of the program. It provides for a means of
continuous review and oversight to ensure that the products and/or
services performed, produced, and/or managed by a program appropriately
satisfy the mission(s), meet established standards, and are consistent.

b\. The primary objective of quality assurance reviews conducted on the
FAA's Contractor and Industrial Security Program is to ensure that
unauthorized access to and/or compromise of FAA facilities, sensitive
and classified information, and resources has not occurred.

701\. [Program Mission Statement]{.underline}. This quality assurance
program applies to the FAA's Contractor and Industrial Security Program.
This program will ensure:

a\. The FAA's contractor and industrial security policies and procedures
parallel the Federal personnel security policies and procedures to the
fullest extent practicable.

b\. Consistent, efficient, and appropriate implementation of the laws,
regulations, and procedures that govern contractor and industrial
security by all responsible entities.

c\. Employment of entities and/or persons under FAA contracts promotes
the efficiency of the FAA and is in the best interest of national
security.

702\. [REsponsibilities]{.underline}. The following subparagraphs
clarify the responsibilities identified in chapter 1, paragraph 11,
related to implementation of this program.

a\. [Office of Civil Aviation Security Operations (ACO)]{.underline}.

\(1\) Review all contracts at the headquarters, regional, and center
levels to ensure appropriate security clauses are included.

\(2\) Ensure that position risk/sensitivity designations are
appropriate, approved, and documented on FAA Form 1600-77.

\(3\) Ensure all security screenings, including fingerprint checks and
background investigations, are initiated and appropriately adjudicated,
as required.

\(4\) Maintain a computerized data base of all contractor employees who
have been investigated and the current status of each contractor
employee. This data base should include, at a minimum, the name, social
security number, date and place of birth, position risk/sensitivity
level, type of security screening conducted, date of interim and final
suitability determinations, and contract number.

\(5\) Conduct semiannual and unscheduled reviews of all FAA contracts at
the headquarters, regional, and center levels in accordance with the
procedures outlined in Order 1600.73, Chapter 7, Quality Assurance Plan,
to ensure:

\(a\) Applicable security clauses are included, where appropriate; and

\(b\) Appropriate security screenings are conducted on contractor
employees as required or appropriate documentation exists establishing
exemption from the investigative requirements.

b\. [Research and Acquisitions Organization (ARA), Office of Information
Services (AIO), Office of Regions and Center Operations (ARC), and
Office of Civil Aviation Security (ACS)]{.underline}. These offices will
jointly design, implement, and maintain a fully integrated automated
background investigation tracking system that includes, at a minimum,
the following:

\(1\) ARA will enter the following information:

\(a\) Contract/agreement title/brief description if different from the
company, entity, agency, or business name;

\(b\) Name of the company, entity, agency, or business providing the
services and/or products specified in the contract;

\(c\) Contract/agreement number;

\(d\) Operating or program office identifier;

\(e\) Identification of the responsible CO and COTR, or responsible
logistics management specialist, or responsible real estate contracting
officer, as applicable;

\(f\) Contract/agreement start and end dates; and

\(g\) Total number of contractor employees who will be working or
providing supplies under the contract/agreement (for whom FAA Forms
1600-77 have been completed).

\(2\) ACS will enter the following information:

[]{.mark}

\(a\) Individual contractor employee data, including date of birth,
place of birth, and social security number;

[]{.mark}

\(b\) Type of security screening required or identification of exemption
from the investigative requirements;

\(c\) Date of interim suitability determination (if applicable);

\(d\) Date of security screening initiated;

\(e\) Date security screening completed;

\(f\) Date of final suitability determination; and

\(g\) SSE identifier (this may be fulfilled by inclusion of the SON
and/or SOI).

\(3\) System features:

\(a\) Integration with Offices of Acquisitions (ASU), Human Resources
Management (AHR), and ACO automated systems;

\(b\) Support to the entire FAA Personnel Background Investigation
process;

\(c\) Web-enabled;

\(d\) Ability to produce customized reports;

\(e\) Security; and

\(f\) No duplicate data entry.

c\. [Regional and center level SSE's]{.underline}.

\(1\) Review all contracts at the field level to ensure appropriate
security clauses are included.

\(2\) Ensure that position risk/sensitivity designations are
appropriate, approved, and documented on FAA Form 1600-77.

\(3\) Ensure all security screenings, including fingerprint checks and
background investigations, are initiated and appropriately adjudicated,
as required.

\(4\) Ensure the data on of all contractor employees is entered into the
automated system developed by ARA, AIO, ARC, and ACS.

\(5\) Conduct semiannual and unscheduled reviews of all FAA field-level
contracts in accordance with the procedures outlined in Order 1600.73,
chapter 7.

\(a\) Review all contracts for/with AIS, AIS penetration testing, weapon
carrying, fiduciary, air traffic control, and communications positions
for the past fiscal year to verify that the necessary security
requirements are included in these contracts.

\(b\) Review a representative number (as determined by ACO-300) or

20 percent of all classified and unclassified contracts with contractor
security requirements at each review site. The number of *unclassified*
contracts reviewed cannot be less than 25, unless the total number of
these contracts is less than 25. The number of *classified* contracts
reviewed cannot be less than 25, unless the total number of these
contracts is less than 25.

d\. [ASU, regional logistics divisions, airway facilities divisions, and
Offices of Acquisition Services at the Aeronautical and Technical
centers]{.underline}.

\(1\) Ensure all necessary contract information is entered into the
automated system developed by ARA, AIO, ACO, and ACS.

\(2\) Provide a listing of all current FAA contracts containing work,
services, and/or duties performed or provided by, and supplies to be
provided by contractor employees to the SSE's quarterly and upon
request.

\(3\) Develop and conduct training and/or informational briefings
applicable to the Contractor and Industrial Security Program in
coordination and partnership with ACS, contracting officers, logistics
management specialists, real estate contracting officers, and operating
offices.

\(4\) Ensure all appropriate security provisions and clauses are
included in all solicitations and contracts, where applicable.

\(5\) Assist ACO and field SSE's in conducting the quality assurance
reviews identified below in accordance with the procedures outlined in
Order 1600.73, chapter 7.

\(a\) Review all contracts for/with AIS, AIS penetration testing, weapon
carrying, fiduciary, air traffic control, and communications positions
for the past fiscal year to verify that the necessary security
requirements are included in these contracts.

\(b\) Review a representative number (as determined by ACO-300) or

20 percent of all classified and unclassified contracts with contractor
security requirements at each review site. The number of *unclassified*
contracts reviewed cannot be less than

25, unless the total number of these contracts is less than 25. The
number of *classified* contracts reviewed cannot be less than 25, unless
the total number of these contracts is less than 25.

e\. [Office of Civil Aviation Security Policy and Planning
(ACP)]{.underline}.

\(1\) Develop and maintain FAA orders applicable to the Contractor and
Industrial Security Program in coordination with ACO, ASU, the SSE's and
other FAA elements, as appropriate.

\(2\) Assist ASU, regional logistics divisions, airway facilities
divisions, Offices of Acquisition Services at the Aeronautical and
Technical Centers, and ACO in developing and conducting training and/or
informational briefings applicable to the Contractor and Industrial
Security Program.

\(3\) Provide guidance to ACO, ASU, regional logistics divisions, airway
facilities divisions, and Offices of Acquisition Services at the
Aeronautical and Technical Centers, upon request.

703\. [REVIEW CRITERIA]{.underline}.

a\. Contracts are reviewed to ensure appropriate security clauses are
included.

b\. Security screenings are conducted on contractor employees as
required.

c\. Position risk/sensitivity levels entered into electronic data bases
match those identified on FAA Form 1600-77.

d\. Procedures have been established for the review of investigative
forms and are effective in ensuring completeness.

e\. Followup information is collected expeditiously and issues are
resolved prior to approval of interim suitability determination
requests.

704\. [REPORTING REQUIREMENTS]{.underline}. ACO and regional and center
SSE's will report the results of each quality assurance review conducted
in writing to ARA and/or ARC, as appropriate, in accordance with the
procedures outlined in Order 1600.73, chapter 7.

705 - 799. [RESERVED]{.underline}.

APPENDIX 1. GLOSSARY

[Access]{.underline}. The ability to physically enter or pass through an
FAA area or facility; or having the physical ability or authority to
obtain FAA sensitive information, materials, or resources; or the
ability to obtain FAA sensitive information by technical means including
the ability to read or write information or data electronically stored
or processed in a digital format such as on a computer, modem, the
Internet, or a local- or wide-area network (LAN or WAN). When used in
conjunction with classified information, access is the ability,
authority, or opportunity to obtain knowledge of such information,
materials, or resources.

[Automated Information System (AIS]{.underline}). An assembly of
computer or telecommunications equipment, facilities, personnel,
software, and procedures configured for the purpose of communicating,
storing, calculating, computing, summarizing, or retrieving data and
information with a minimum of human intervention.

a\. [General Purpose]{.underline}. An interconnected set of information
resources that share a common functionality under the same direct
management control, including software, host computers, and networks
that provide support for a variety of users and applications.

b\. [Special Purpose]{.underline}. Computer or telecommunications
systems that require special management attention because of their
importance to the agency's mission; their high maintenance, development,
or operating costs; or their significant role in dealing with the
agency's programs, finances, property, or other resources.

[AIS ACCESS LEVEL I]{.underline}. Authorization to read or write
classified information or data electronically stored in a digital
format.

[AIS ACCESS LEVEL II]{.underline}. Authorization to read or write
sensitive and/or Privacy Act information or data electronically stored
in a digital format.

[AIS ACCESS LEVEL III]{.underline}. Authorization to read or write
unclassified and nonsensitive information or data electronically stored
in a digital format.

[Background investigation]{.underline}. A general term referring to any
investigation conducted on an individual to meet personnel, contractor,
or industrial security program requirements. This term is not normally
abbreviated and does not refer to a specific type of investigation such
as the term defined below.

[Background Investigation (BI)]{.underline}. Searches of the Office of
Personnel Management's (OPM) Security and Suitability Investigations
Index (SII), the Defense Clearance and Investigations Index (DCII), the
Federal Bureau of Investigation's (FBI) Identification Division, and
FBI's Records Management Division; a credit search; personal interviews
of the subject and sources; written inquiries; record searches covering
specific areas of a person's background during the most recent 5 years;
and additional record searches during the most recent 7 years.

[CLASSIFIED CONTRACT]{.underline}. Any contract, purchase order,
consulting agreement, lease agreement, interagency agreement, memorandum
of agreement, or any other agreement between the FAA and another party
or parties that requires the release or disclosure of classified
information to the contractor and/or contractor employees in order for
them to perform under the contract or provide the services or supplies
contracted for.

[Classified information]{.underline}. Official information or material
that requires protection in the interest of national security and is
labeled or marked for such purpose in accordance with the provisions of
Executive Order 12958, Classified National Security Information.

[Commercial-Off-The-Shelf (COTS)]{.underline}. For purposes of this and
all related orders, the term COTS as it refers to hardware, software,
and services used by the FAA is defined below and is interchangeable
with terms such as "commercially available," "commercial component(s),"
"commercial product(s)," and "commercial item."

\- Any item, other than real property, that is of a type customarily
used by the general public that has been sold, leased, or licensed or
has been offered for sale, lease, or license to the general public.

\- Any item that evolved from an item described in paragraph a through
advances in technology or performance that is not yet available in the
commercial marketplace, but may be made available in time to satisfy the
delivery requirements of a Government solicitation.

\- Any item that would satisfy a criterion described in paragraphs a or
b above that has been modified to meet Federal Government requirements.

\- Installation, maintenance, repair, training, or other such services
procured for support of an item described in paragraphs a through c
above if the source offers such services to the general public and the
Federal Government contemporaneously under similar terms and conditions,
and with the same workforce.

\- Any item or service offered or sold competitively in substantial
quantities in the commercial marketplace based on established catalog or
market prices; or that has been determined by the procuring agency to
have been developed exclusively at private expense and sold in
substantial quantities on a competitive basis to multiple state or local

governments.

[CONTRACT]{.underline}. A legally enforceable binding agreement between
two or more persons or parties. For the purposes of this and all related
orders, includes, but is not limited to, purchase orders, consulting
agreements, lease agreements, interagency agreements, memorandums of
agreement, and any other agreement between the FAA and another party or
parties.

[Contracting officer]{.underline}. An official who has authority to
enter into and/or administer contracts and makes determinations or
findings with respect to those contracts on behalf of the FAA.

[CONTRACTING OFFICER'S TECHNICAL REPRESENTATIVE (COTR)]{.underline}. An
individual designated in writing by a contracting officer to act as a
technical representative to facilitate administration of a contract.

[CONTRACTOR SECURITY]{.underline}. The standards and procedures utilized
to determine and document that the use of an individual pursuant to a
contract with the Federal Government will promote the efficiency of the
service.

[Contractor employee]{.underline}. A person employed as or by a
contractor, subcontractor, or consultant to the FAA, or any non-FAA
person who performs paid or non-paid work or services for the FAA within
FAA facilities.

[CRITICAL AREA POSITIONS]{.underline}. Positions that have a direct
impact on communications, automated information systems, safety,
security, and/or the National Airspace System (NAS), and/or are located
in or have access to sensitive areas and security offices.

[Defense Clearance and Investigations Index (DCII) *\[formerly known as
the Defense Central Investigations Index\]*]{.underline}. An automated
index of digitally stored data of investigations conducted by the
Department of Defense (DOD) on military personnel, DOD civilian
employees and applicants, and contractors.

[Dual citizen]{.underline}. A citizen of the United States having also
citizenship in another country.

[Due process]{.underline}. Procedures designed to allow FAA employees,
contractor employees, and applicants to respond to unfavorable
information developed during personnel security investigations.

[Escorting]{.underline}. A Federal or other appropriately cleared person
or persons accompanying a contractor employee or other specified
individual to prevent unauthorized access to FAA facilities,
information, and/or resources. The escort must keep the individual(s)
requiring escort in plain view at all times and must be constantly aware
of the individual's actions.

[Facility \[as it applies to the Contractor and Industrial Security
Program\]]{.underline}. Any manned or unmanned building, structure,
warehouse, appendage, storage area, utilities, and components, which
when related by function and location form an operating entity owned,
operated, or controlled by the FAA.

[FAA employee]{.underline}. Any person employed directly by the FAA.

[fingerprint CHECK]{.underline}. This check consists of searches of the
SII, FBI's Identification Division, FBI's Records Management Division,
and DCII.

[Foreign national]{.underline}. An individual who is not a citizen of
the United States.

[Immigrant alien]{.underline}. An individual who is lawfully admitted to
the United States under an immigration visa for permanent residence.

[INDUSTRIAL SECURITY]{.underline}. The standards and procedures utilized
to determine and document that use of an individual pursuant to a
contract with the Federal Government is clearly consistent with the
interests of the national security by ensuring protection of classified
information in the custody of and/or accessed by U.S. industry.

[Limited Background Investigation (LBI)]{.underline}. Searches of the
SII, DCII, FBI's Identification Division, and FBI's Records Management
Division, a credit search, personal interviews of the subject and
sources, written inquiries of selected sources covering specific areas
of a person's background during the most recent 3 years, and record
searches for a total of 5 years of coverage.

[Minimum Background Investigation (MBI)]{.underline}. Searches of the
SII, DCII, FBI's Identification Division, and FBI's Records Management
Division, written inquiries, telephone inquiries to follow up on written
inquiries not returned, a credit search, and record searches for a total
of 5 years of coverage.

[National Agency Check (NAC)]{.underline}. Searches of the SII, DCII,
FBI's Identification Division, and FBI's Records Management Division.

[National Agency Check and Inquiries (NACI)]{.underline}. Searches of
the SII, DCII, FBI's Identification Division, and FBI's Records
Management Division, and written inquiries and record searches covering
specific areas of a person's background during the most recent 5 years.

[nATIONAL AGENCY CHECK, LAW ENFORCEMENT CHECKS, AND CREDIT
(NACLC)]{.underline}. Searches of the SII, DCII, FBI's Identification
Division, and FBI's Records Management Division, law enforcement checks,
and a credit check covering specific areas of a person's background
during the most recent 5 years.

[National security]{.underline}. The protection and preservation of the
military, economic, and productive strength of the United States,
including the security of the Government in domestic and foreign
affairs, from overt and covert attack against or from espionage,
sabotage, and subversion, and any and all illegal acts designed to
weaken or destroy the United States.

[National security position]{.underline}. A position involving
Government activities concerned with the protection of the national
security.

[NEXUS]{.underline}. A direct or logical connection between a person's
conduct and the duties and responsibilities of the position applied for.

[Operating office]{.underline}. For the purposes of this and all related
orders, an FAA line of business, activity, or organization utilizing the
services and/or work of a contractor.

[Periodic Reinvestigation (PRI)]{.underline}. An investigation updating
a previous investigation and consisting of an NAC, credit search,
personal interview of the subject, and selected record searches.

[Periodic Reinvestigation -- Single Scope Background Investigation
(SSBI-PR)]{.underline}. An investigation conducted to update an SSBI
that consists of personal interviews of the subject and sources,
searches of the SII, DCII, FBI's Identification Division, and FBI's
Records Management Division, a credit search, and written inquiries and
record searches covering specific areas of a person's background during
the most recent 5 years.

[Personnel security]{.underline}. The standards and procedures utilized
to determine and document that the employment or retention in employment
of an individual with the Federal Government will promote the efficiency
of the service and is clearly consistent with the interests of the
national security.

[Personnel security adjudicator]{.underline}. An individual in the
servicing security element (SSE) who adjudicates personnel security
investigations for suitability and/or security for employment in or
under contract to the Federal Government.

[Personnel security coordinator]{.underline}. An employee of an
operating office assigned to coordinate personnel security functions
among his or her organization, its SSE, and its Human Resource
Management Division.

[Personnel security investigation]{.underline}. An investigation, also
referred to as a background investigation, conducted to aid in
determining an applicant or employee's suitability for employment,
qualifications for a position, or loyalty to the United States.

[Personnel security officer]{.underline}. An appointed individual
responsible for management and operation of the personnel, contractor,
and/or industrial security program.

[Position risk level]{.underline}. The designation of a position based
on its public trust responsibilities and attributes as they relate to
the efficiency of the service.

[Position sensitivity LEVEL]{.underline}. The designation of a position
based on its relative importance to the national security.

[Proprietary information]{.underline}. Information in which the owner
has a protectable interest or information contained in a bid or proposal
or otherwise submitted to the Government by a competing contractor in
response to the conduct of a particular Federal agency procurement, or
in an unsolicited proposal, that has been marked by the contractor as
proprietary information in accordance with applicable law and
regulation.

[Public trust position]{.underline}. A position which has the potential
for action or inaction by an incumbent to affect the integrity,
efficiency, or effectiveness of assigned Government activities.

[Quality Assurance]{.underline}. A system that provides for a means of
continuous review and oversight of a program/process to ensure (1)
compliance with applicable laws and regulations; (2) the products and
services of the program/process satisfy the mission of the program; and
(3) the products and services are dependable and reliable.

[REAL ESTATE CONTRACTING OFFICER (RECO)]{.underline}. An official who
has authority to enter into and/or administer real estate contracts and
makes determinations or findings with respect to those contracts on
behalf of the FAA.

[Reimbursable Suitability Investigation (RSI)]{.underline}. An
investigation conducted by the OPM to resolve a suitability issue raised
in a previous investigation.

[Resources \[as it applies to the Contractor and Industrial Security
Program\]]{.underline}. FAA physical plants, sensitive equipment,
information databases including hardware and software, and manual
records pertaining to agency mission or personnel.

[Security adjudication]{.underline}. The determination as to whether the
employment or continued employment of an individual, and the person's
access to classified information, if necessary, can reasonably be
expected to be clearly consistent with the interests of national
security.

[Security AND Suitability Investigations Index (SII)]{.underline}. An
electronically stored information in digital format created and
maintained by OPM consisting of investigations conducted by OPM and
certain other agencies as reported to OPM.

[Sensitive information]{.underline}. Any information which if subject to
unauthorized access, modification, loss, or misuse could adversely
affect the national interest, the conduct of Federal programs, or the
privacy to which individuals are entitled under Section 552a of Title 5,
United States Code (the Privacy Act), but which has not been
specifically authorized under criteria established by an Executive Order
or an act of Congress to be kept secret in the interest of national
defense or foreign policy. Sensitive data also includes proprietary
data.

[Servicing security element (SSE)]{.underline}. The headquarters,
region, or center organizational element responsible for providing
security services to a particular activity. Note: Throughout this order,
the headquarters SSE will be referred to as ACO-300 and wherever the
term "SSE" appears it will refer to the region, center, and field
elements.

[Single Scope Background Investigation (SBI)]{.underline}. Searches of
the SII, DCII, FBI'S Identification Division, and FBI's Records
Management Division, birth records search, a credit search, personal
interviews of the subject and sources, written inquiries, and record
searches covering specific areas of a person's background during the
most recent 10 years.

[Suitability]{.underline}. Identifiable character traits and past
conduct which are sufficient to determine whether or not a given
individual is likely to carry out the duties of a job with appropriate
efficiency and effectiveness.

[Suitability adjudication]{.underline}. The process of determining a
person's suitability for employment with, by, or for the Federal
Government or to work or provide services as a contractor to the Federal
Government.

[Upgrade Investigation (UGI)]{.underline}. Searches of the SII, DCII,
FBI's Identification Division, and FBI's Records Management Division, a
credit search, personal interviews of the subject and selected sources,
and record searches covering specific areas of a person's background
since the last investigation. This investigation is for movement upward
in sensitivity/risk level from between 13 to 60 months of the closing
date of the previous investigation.

[Update Investigation (UDI)]{.underline}. An investigation consisting of
the same type of coverage as a previous investigation conducted within
13 to 60 months of the previous investigation.