Effective October 26, 2017, the Postal Service™ is revising the Administrative Support Manual (ASM), part 272, to update the policies for personnel security clearances.
Administrative Support Manual (ASM)
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2 Audits and Investigations
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27 Security
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272 Personnel Security Clearances
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272.2 Level of Clearances for Postal Service Employees
[Revise 272.21 (deleting the text as well as subsections 272.211-272.215) to read as follows:]
272.21 (Reserved)
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[Renumber current 272.24 as new 272.28 and move section to appropriate location.]
[Add new 272.24, 272.25, 272.26, and 272.27 to read as follows:]
272.24 Tier 3 (Access National Agency Check with Inquiries) Background Investigation
272.241 General
Tier 3 (currently known as Access National Agency Check with Inquiries or ANACI) investigations are required for positions accessing Non-Critical Sensitive and Secret information and have the potential for serious damage to national security. Investigations conducted to this standard are for positions designated as non-critical sensitive, military accessions, or requiring eligibility for “L” access or access to Confidential or Secret information. This is the lowest level of investigation acceptable for access to classified information or assignment to a sensitive position. The level of clearance for these positions is Secret. The subject’s manager initiates the investigation.
272.242 Positions Requiring Secret Clearance
Positions requiring a security clearance include:
a. Any position in which the incumbent is required to have knowledge or access to information or material classified as Secret under Executive Order 12968, or
b. Any other position identified by the Chief Inspector or his designee.
272.243 Tier 3 Investigation Components
The Federal Investigative Standards (FIS) establish the Tier 3 investigation components, which include the following checks:
a. Date and place of birth;
b. Citizenship or legal status;
c. The Office of Personnel Management’s Security/Suitability Investigations Index (SII);
d. Department of Defense Clearance and Investigations Index (DCII);
e. Federal Bureau of Investigation investigative and local law-enforcement agency criminal-history checks (including fingerprint and name checks);
f. Prior and current investigative records in Department of Defense (DOD), Office of Personnel Management (OPM), and Intelligence Community (IC) databases;
g. Social Security number verification;
h. Terrorist and subversive activities, researched through the National Crime Information Center (NCIC), wants/warrants, and related databases;
i. Selective Service registration;
j. Military discharge;
k. Criminal history in locations where the subject resided, worked, and went to school within the past 5 years;
l. Education verification;
m. Employment history within the past 5 years;
n. Credit or financial history;
o. Optional enhanced subject interview;
p. Foreign activities; and
q. Foreign-born immediate family.
Note: With regard to U.S. citizens who have not resided in the U.S. for the last 5 years, to the extent practicable and warranted by the investigative findings, investigative standards must be met through use of the best sources and records located within the United States or located within U.S. facilities or installations overseas. Unfavorable information, discrepancies, information of security or suitability significance, or significant time period gaps might be cause for tailored international coverage.
272.244 Tier 3 Processing Requirements
For Tier 3 processing, the following items are required:
n PS Form 2013, Request for Background Investigation;
n e-Qip version of SF 86, Questionnaire for National Security Positions;
n Two SF 87s, Fingerprint Card, or Postal Service-approved Livescan prints (if available);
n PS Form 2181, Authorization and Release (Postal Service employee);
n PS Form 2181-D, Disclosure and Authorization for Consumer Reports and Investigative Consumer Reports;
n Proof of citizenship or legal status; and
n A negative drug screen per the following:
All contractors working for the Postal Service and all career and non-career employees who work for the Postal Inspection Service or the Office of Inspector General must pass a 5-panel drug-screening test for the following:
n Cocaine,
n Marijuana,
n Amphetamine/methamphetamine,
n Opiates, and
n Phencyclidine (PCP).
The Substance Abuse and Mental Health Services Administration (SAMHSA) has identified these as the five most abused substances. The screening test must be performed by a SAMSHA-approved certified laboratory and must meet the cut-off levels established by SAMHSA. The certification must include the following:
n The name of the individual tested;
n The name of the institution or laboratory that performed the test;
n The name of the agency that certified the laboratory;
n The date of the test, which must be within 90 days of the submission of the results; and
n The negative results of the test.
Career and non-career employees, except those who work for the Postal Inspection Service or the Office of Inspector General, are drug screened per postal Human Resources (HR) requirements at the time of hiring. See Handbook EL–312, Employment and Placement.
272.245 Tier 3 Reinvestigations
After the initial clearance is granted, a Tier 3 reinvestigation is required every 5 years. The SISC initiates all Tier 3 reinvestigations by notifying the requesting manager that a reinvestigation is due. The requesting manager is responsible for ensuring the proper and timely completion and submission of the required forms. The same forms required for an initial investigation (section 272.244) are required for a 5-year reinvestigation (excluding proof of citizenship and drug screening results).
Upon favorable adjudication of the initial investigation or reinvestigation, the Chief Postal Inspector or designee grants the Secret clearance. An email is sent to the requesting manager along with a copy of the completed Certificate of Investigation (if available) for inclusion in the individual’s electronic Official Personnel Folder (eOPF).
272.25 Tier 5 (Single Scope) Background Investigation
272.251 General
Tier 5 (currently known as Single Scope Background Investigation or SSBI) investigations are required for positions accessing classified material that have the potential for exceptionally grave damage to national security. The level of clearance for these Tier 5 positions is Top Secret.
272.252 Positions Requiring Top Secret Clearance
Positions requiring Top Secret clearances include, but are not limited to, the following:
a. The inspector general, the postmaster general, the deputy postmaster general, the chief operating officer, the general counsel, the chief postal inspector, the associate general counsel and chief ethics officer, the consumer advocate, the judicial officer, presidents, and vice presidents;
b. The deputy general counsels, managing counsels, and chief counsels;
c. Designated employees of the Postal Inspection Service;
d. Designated employees of the OIG; and
e. Any other position in which the incumbent is required to have knowledge of and access to information or material classified Top Secret under Executive Order 12968, Classified National Security Information, dated August 4, 1995, and successive orders, and White House Memorandum, dated December 29, 2005, entitled Adjudicative Guidelines for Determining Eligibility for Access to Classified Information.
Requests for Top Secret clearances for any positions not listed in items a. through e. above require the approval of the Inspector in Charge of the Security Group at Inspection Service Headquarters.
272.253 Tier 5 Investigation Components
Tier 5 investigation components are established by Executive Order 12968, as amended, and the FIS, pursuant to Executive Order 13467. Tier 5 components include the Tier 3 checks listed in 272.243, as well as the following:
a. Spouse or cohabitant;
b. Public records;
c. Credit or financial history, including Financial Crimes Enforcement Network (FinCEN);
d. Enhanced employment checks;
e. Former spouse;
f. Social references; and
g. Enhanced Subject Interview (ESI).
272.254 Tier 5 Processing Requirements
The following items are required for Tier 5 processing:
n PS Form 2013, Request for Background Investigation;
n e-Qip version of SF 86, Questionnaire for National Security Positions;
n Two SF-87s, Fingerprint Cards, or Postal Service-approved Livescan prints (if available);
n PS Form 2181, Authorization and Release (Postal Service employee);
n PS Form 2181-D, Disclosure and Authorization for Consumer Reports and Investigative Consumer Reports;
n Proof of citizenship or legal status; and
n Negative drug screen dated within the last 90 days.
272.255 Tier 5 Reinvestigations
Tier 5 reinvestigations are required at least once every 5 years after the initial investigation, or more frequently, in accordance with FIS requirements. Upon receipt of notification that the reinvestigation is due, the same forms required for the initial investigation (excluding proof of citizenship and drug screening results) must be completed and promptly submitted to the Postal Inspection Service.
Upon favorable adjudication of the initial investigation or reinvestigation, the Chief Postal Inspector or designee grants the Top Secret clearance. An email is sent to the requesting manager along with a copy of the completed Certificate of Investigation for inclusion in the individual’s eOPF.
272.26 Continuous Evaluation Investigations
Continuous Evaluation (CE) is defined as “Review of the background of an individual at any time during the period of eligibility to determine whether that individual continues to meet the requirements for eligibility.” (FIS 2.2) Pursuant to guidance provided by the Director of National Intelligence (DNI) as the Security Executive Agent, individuals may be reevaluated on a random or continuous basis between investigative cycles. CE investigations will be initiated on no less than 5 percent of the Top Secret and Secret population only.
For each individual enrolled in CE, the following seven categories of data will be collected from various classified and unclassified databases:
1. Eligibility — Check of CVS, JPAS, Scattered Castles;
2. Terrorism — Check of NCIC and TIDE;
3. Foreign Travel — Check of DHS databases;
4. Suspicious Financial Activity — Check of FinCEN;
5. Criminal Activity — Ongoing checks of Rap Back and NCIC;
6. Credit — Credit bureau reports; and
7. Commercial — Public record checks for civil judgments, liens, bankruptcies, etc.
The checks will be conducted on a frequency schedule established by the DNI.
272.27 Evaluation Criteria for National Security Adjudicative Decisions
The adjudication of Tier 3 and Tier 5 national-security background investigations includes the criteria outlined in Executive Order 12968, as amended, and White House Memorandum, dated December 29, 2005, entitled Adjudicative Guidelines for Determining Eligibility for Access to Classified Information. The Chief Postal Inspector or designee determines whether or not to grant or continue eligibility for Secret or Top Secret security clearance based upon careful consideration of the following:
a. The adjudicative process is an examination of a sufficient period of a person’s life to make an affirmative determination that the person is eligible for a security clearance. The individual must meet these personnel-security guidelines to be eligible for access to classified information. The adjudicative process is the careful weighing of a number of variables known as the whole-person concept. The adjudicator must consider available, reliable information about the person, past and present, favorable and unfavorable, in reaching a determination. In evaluating the relevance of an individual’s conduct, the adjudicator considers the following factors:
1. The nature, extent, and seriousness of the conduct;
2. The circumstances surrounding the conduct, to include knowledgeable participation;
3. The frequency and timing of the conduct;
4. The individual’s age and maturity at the time of the conduct;
5. The voluntariness of participation;
6. The presence or absence of rehabilitation and other pertinent behavioral changes;
7. The motivation for the conduct;
8. The potential for pressure, coercion, exploitation, or duress; and
9. The likelihood of continuation of recurrence.
b. The Chief Postal Inspector or designee must judge each case on its own merits, and the final determination remains the responsibility of the Postal Inspection Service. Any doubt as to whether an individual should be allowed access to classified information will be resolved in favor of national security.
c. The determination of the granting of or continuing eligibility for a Top Secret clearance must be consistent with the interests of national security. The determination is based upon consideration of the following criteria, each of which is to be evaluated by the totality of the circumstances:
1. Guideline A: Allegiance to the United States;
2. Guideline B: Foreign influence;
3. Guideline C: Foreign preference;
4. Guideline D: Sexual behavior;
5. Guideline E: Personal conduct;
6. Guideline F: Financial considerations;
7. Guideline G: Alcohol consumption;
8. Guideline H: Drug involvement;
9. Guideline I: Emotional, mental, and personality disorders;
10. Guideline J: Criminal conduct;
11. Guideline K: Security violations;
12. Guideline L: Outside activities; and
13. Guideline M: Misuse of information technology systems.
[Use the current title and text of 272.28 to create new 272.281. Revise the title of 272.28 and renumber current 272.281-272.284 as new 272.282-272.285.]
272.28 Clearance or Investigation Requirements
272.281 Risk Assessment Determines Clearance or Investigation Requirement
The Chief Postal Inspector or his designee makes risk assessments for postal positions. A Position Designation Survey completed by a postal manager knowledgeable of the position is one element of this assessment. The risk assessment determines the level of risk and type of clearance or investigation required. The occupation codes of certain higher risk level positions state the MBI, BI, or SSBI security clearance requirement in the position’s Qualification Standards. If an MBI, BI, or SSBI is required for a position, that requirement will display on the Qualification Standards included in the position’s vacancy announcement. This alerts a potential applicant that he or she is subject to meeting the clearance or investigation requirement.
Unless noted otherwise on the Qualification Standards for the position, a NACI investigation is required for career employees and a SACI investigation is required for non-career employees.
272.282 Clearance or Investigation Requirement in Qualification Standards
When the Postal Service creates a new occupation code, a manager from the organization that requires the new position and who is familiar with the requirements of the position in question, completes a Position Designation Survey for that position. This Position Designation Survey is submitted to the Chief Postal Inspector or his designee. Upon receipt of the clearance or investigation requirement from the Chief Postal Inspector or designee, Employee Resource Management (ERM) assigns the background investigation level to the newly created position’s Qualification Standard in the Human Capital Enterprise System.
Additionally, ERM, in conjunction with functional and area managers, conducts a cyclical review of occupation codes to delimit obsolete occupation codes and update existing occupation codes as needed with the required background investigation level. The cyclical review allows the Postal Service to manage the security risk associated with Postal Service positions.
272.283 Employee Placement in a Position With a Higher Clearance or Investigation Requirement
If an employee within the Postal Service is selected for a position with a higher clearance or investigative requirement than the clearance or investigative requirements required by their prior position, the manager of the affected position works with Human Resources to initiate the investigation immediately upon the employee’s placement in the new position. See 272.25 to request an SSBI for Top Secret clearance, 272.221 to request a BI, and 272.222 to request an MBI. The requesting manager is responsible for ensuring proper and timely completion and submission of the required documents.
272.284 Review and Processing of Clearance or Investigation Request
The manager reviews the forms required by each clearance or investigative requirement to ensure completion, then initiates and signs the PS Form 2013. The manager then submits the packet to the SISC for processing within 15 days of the Postal Service employee or potential hire’s placement effective date.
272.285 Granting a Suitability Determination (Background Investigation — High Risk or Moderate Risk)
Upon favorable adjudication, the SISC issues the final suitability determination via email notification to the requesting manager.
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[Revise the title and text of 272.31 to read as follows:]
272.31 Denial Reconsideration for National Security Clearances
Pursuant to Executive Order 12968, part 5, section 5.2, individuals, their representatives, or both must have a reasonable opportunity to reply in writing to, and to request a review of, the determination made to revoke or deny a security clearance. An individual seeking reconsideration has the right to counsel or other representation at the individual’s expense.
An individual may request any documents, records, and reports as described in section 5.2(a)(2) of the Executive Order. An individual may also request the entire investigative file, as described in section 5.2(a)(3).
Send written replies and requests for a review of documentation to the level-one appeal authority, who will be identified in the initial denial letter. The level-one appeal authority will issue a written decision either upholding or reversing the decision to deny access. If the denial is upheld, the individual may appeal the decision in writing, within 10 days, to a panel that will act as the level-two appeal authority.
The Chief Postal Inspector appoints the level-two appeal panel and it must be composed of at least three members, two of whom will be from outside the security field. The appellant may appear personally and present relevant documents, materials, and information before the panel. The panel’s decision must be in writing and is final. The review proceedings will be accomplished in accordance with Executive Order 12968.
When the information and procedures contained in this section and in section 272.27, Evaluation Criteria for National Security Adjudicative Decisions, conflict with Executive Order 12968 or other applicable executive orders related to adjudication of security clearances, the executive orders will take precedence.
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We will incorporate these revisions into the next online update of the ASM, which is available on the Postal Service PolicyNet website:
n Go to blue.usps.gov.
n In the left-hand column under “Essential Links,” click PolicyNet.
n Click Manuals.
The direct URL for the Postal Service PolicyNet website is blue.usps.gov/cpim.
— Office of Counsel,
Postal Inspection Service, 10-26-17
