Streamline Identity Management Playbook

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Step 5 - Streamline Background Investigation Processing

Data collected during a background investigation contains a person’s core digital identity. By integrating and streamlining personnel security and background investigation processes, the processes around creating and populating the digital identity can be significantly improved.

Checklist

 Use data captured during the PIV enrollment process. Capturing data once and reusing it creates a more efficient process, while a limited number of data collection points enhances data privacy. For example, many biographic data elements (e.g., name, DOB) collected during PIV enrollment can also be used during the background investigation to reduce redundancy.

 Integrate background investigation processing into other processes. The number of steps necessary to initiate a background investigation can be reduced by integrating this process with other existing business processes. For example, instead of manually tracking the due dates for reinvestigations, consider building a system that automatically tracks reinvestigation dates and prompts the personnel security specialist to initiate reinvestigations at the appropriate time.

 Leverage authoritative sources of identity information. Agencies should use their internal authoritative sources of identity data (e.g., HR systems) and share this information with the systems and applications that are used to track and conduct investigations (e.g., OPM‘s e-QIP). Doing so can minimize the amount of identity data that must be manually re-entered during the background investigation process.

 Eliminate paper-based investigative forms. Aim to eliminate the use of paper forms and manual processes to support investigation processing through OPM. Agencies should also use automated electronic processing solutions, such as OPM‘s electronic Agency Delivery of investigative results.

 Honor reciprocity for investigations performed by other agencies. Previous guidance has identified the lack of reciprocity in accepting background investigations completed by or on behalf of another agency as a key gap in performing background investigations. Agencies should use the capabilities provided within the Central Verification System (CVS) to report and view the adjudication results of background investigations.

CVS Database

The Office of Personnel Management (OPM) is responsible for maintaining the CVS database. The CVS stores information related to security clearance, suitability, and access decisions for contractor personnel. OPM also stores data related to credentialing determinations under HSPD-12, suitability or fitness for federal employment, fitness for contractor employees, and eligibility for access to classified information to facilitate reciprocity.

Your agency’s responsibilities relating to the use of the CVS include the following:

  • Report all adjudicative decisions on background investigations to OPM.
  • Supply bulk records and HSPD-12 information to CVS via transaction files through the OPM Secure Portal, or through individual entries through the Personnel Investigations Processing System (PIPS) Agency Menu.
  • Make daily updates to the information in the CVS to report any changes, such as adding new clearances, noting revocations, denials, suspensions, and administratively withdrawn clearances. Agencies are required to fully refresh their CVS clearance data at least monthly.
  • Consult the CVS to determine if an existing investigation is sufficient to meet your agency’s need before initiating a new background investigation request.
  • Create processes to ensure the accuracy and maintenance of the information provided to the CVS. OPM does not own this information and other agencies may rely on it to make credentialing decisions.
  • Ensure the appropriate data elements are entered into the CVS for each applicable record (e.g., name, DOB, investigation, clearance level, status, etc.).