Personnel Security at CMS

Personnel Security at CMS

 

Mission Statement

The Division of Personnel Security (DPS) mission is to ensure the Centers for Medicare and Medicaid Services (CMS) is comprised of fit and suitable federal employees, contractors, and affiliates who do not pose a threat to the CMS workforce or mission.  DPS is charged with conducting fitness and suitability adjudications for the CMS workforce.

All CMS Employees, contractors, and affiliates will be subject to a background investigation to determine if they are fit or suitable to occupy the position to which they are applying.  The background investigation process is designed to protect employees, facilities, and information, and safeguard the government resources that provide critical services to the American people.

DPS has the authority delegated by the Department of Health and Human Services, Office of National Security from the Office of Personnel Management (OPM) under Title 5, Code of Federal Regulations, part 731 (5 CFR731) to make determinations and take suitability actions in cases involving covered positions for Federal Employees, and fitness actions for contractors and affiliates that are subject to a background investigation.

The Adjudication Process

The adjudication process is an examination of a sufficient period of a person's life to make an affirmative determination that the person is an acceptable security risk using several variables known as the “whole person” concept.  It contains available, reliable information about the person past and present. The final suitability determination is based on a person's identifiable character traits and conduct sufficient to decide whether access requested would or would not protect the integrity or promote the efficiency of the service.  Favorable and unfavorable information will be considered in reaching a final determination which could affect the access to facilities, systems, information, and ultimately the employment or continued employment with CMS.

The following steps describe the adjudication process:

Suitability Adjudication

There are two steps to the suitability process: (1) Interim evaluation/prescreening; and (2) the full scope suitability adjudication when the Defense Counterintelligence Service Agency (DCSA) completes the background investigation and creates a Report of Investigation (ROI).

A suitability determination, as it relates to an individual’s background investigation, is spelled out  in Title 5 Code of Federal Regulations 731 (5 CFR 731). According to OPM, suitability determinations are “those determinations based on a person's character or conduct that may have an impact on the integrity or efficiency of the service.”  The determination is based on the presence or absence of one or more of the specific factors outlined in 5 CFR 731.

The purpose of suitability adjudication is to reduce the potential for abuse of the public trust and to ensure government-wide uniformity and fairness for applicants, appointees, and employees.

Things that are considered are:

  • Voluntarily reported and unfavorable information;
  • Has demonstrated positive changes in behavior and employment;
  • Nature and seriousness of offense(s);
  • History of misconduct;
  • Rehabilitation efforts; and
  • Financial responsibility.

When an issue(s) is/are present in a person’s background, the adjudicator will need to assess the issue(s) to determine the impact on the individual’s fitness or suitability.  The Adjudication Team is required to carefully and fairly, without bias, examine the investigative results from DCSA IAW Title 5 Part 731 of the Code of Federal Regulations.

To read more about Suitability Adjudication, please refer to the Office of Personnel Management website at: https://www.opm.gov/suitability/suitability-executive-agent/suitability-adjudications/Suitability Criteria. 

Report of Investigation (ROI)

The ROI, from the Defense Counterintelligence and Security Agency (DCSA), consists of the following documents based on the 5-Tier Investigative Model (T1, T2, T3, T4, T5):

  • Electronic Questionnaire (SF85, SF85P, & SF86)
  • Medical Release Form (MEL) (SF85P or SF86)
  • Declaration for Federal Employment (OF 306)
  • Investigative Results Report  - Personal Subject Interview
  • FBI Fingerprint
  • Employment
  • Law
  • Credit Report
  • Interviews

Adjudicator Reviews

If required, a request for additional information is sent by Letter of Interrogatory (LOI) and/or email to the Subject to provide an opportunity to comment, explain or refute issues found by the Defense Counterintelligence and Security Agency (DCSA), and provide documentation to be considered before a final adjudication determination is made.

  • An LOI has a 15-calendar-day turnaround; an adjudicator may grant or approve a 15-calendar-day extension if requested.
  • If a response is not received by the end of the 15-calendary-day extension: the Supervisor will be notified; the Subject will have 2 days to respond. If no response is forthcoming, a final determination will be made with the information available.
  • Requirements for additional information requested by email are the same as for an LOI except that the turnaround period is 5 business days (instead of 15 calendar days), and additional 5 business-day-extension may be granted by an adjudicator as long as communication and actions are being made.

Final Determination / Getting a Copy of My Records

Final Determination

The final suitability determination will be based on good judgment and common sense after consideration of all variables.  Favorable and unfavorable information will be considered in reaching a final suitability determination. Once a final adjudication is made the determination is then sent to DCSA/OPM and an official notification is sent to the employee/contractor via email or mail.  In addition, the COI is sent to the Federal Employees eOPF for the official records.

How can I get a Copy of My Background Investigation Records?

To request a copy of your background investigation you should submit a request to the Defense Counterintelligence and Security Agency (DCSA). You may use the INV100 Freedom of Information, Privacy Act record Request form or submit a handwritten request. Please refer to the Defense Counterintelligence and Security Agency (DCSA) web page at https://www.dcsa.mil/mc/pv/mbi/ 

Points of Contact

For any questions pertaining to Personnel Security or the Adjudication Process, or if you would like more information, please send an email to CMS PERSEC at PERSEC@CMS.HHS.GOV.

Page Last Modified:
09/06/2023 05:05 PM
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