Reporting Responsibilities for Personnel in Sensitive Positions

Individuals in Sensitive Positions at the NIH (Tier 3 non-critical sensitive or Tier 5 critical sensitive) are reminded of their responsibility to report:

1. Activities or conduct concerning themselves or others in Sensitive Positions (regardless of being in access to Classified National Security Information (CNSI) or not), and 

2. Activities or conduct which may affect their ability to protect classified or otherwise protected information from unauthorized disclosure. 

The following must be reported to the HHS Office of National Security (ONS), Division of Personnel Security (DPS). Instructions on how to report is provided below.

• Unofficial (personal) foreign travel and close continuous contact with foreign nationals not already reported on the SF-86 must be reported to the Foreign Travel Notification Form at the following link: Foreign Travel Notification Form. Note: Please report travel at least 15-days prior to travel.
• Close and continuing personal association (e.g., friendships, dating, intimate/romantic relationships, and those which lead to the exchange of personal information) with a foreign national (i.e., non-U.S. citizen).
• Contact with a known or suspected member of a foreign intelligence agency.
• Foreign National Roommates, Cohabitants and Marriages
• Direct Involvement in Foreign Business or providing money to foreign nationals
• Foreign Bank Accounts
• Ownership of Foreign Property
• Foreign Citizenship or application /receipt of a foreign citizenship or sponsoring a foreign national
• Application for, possession of, or use of a foreign passport, or foreign identity card
• Voting in a Foreign Election
• Adoption of non-U.S. citizen children
• Any attempted elicitation, exploitation, blackmail, coercion, or enticement to obtain classified or other information specifically prohibited by law from disclosure regardless of means.
• Personal conduct that might make one vulnerable to exploitation, blackmail, coercion, or enticement to obtain classified or other “protected” information to include any activities that, if known, would render one susceptible to blackmail.
• Media contacts where the media seeks access to classified or other information specifically prohibited by law from disclosure, whether or not the contact results in an unauthorized disclosure.
• Any arrests, criminal conduct or involvement with law enforcement, detentions, (e.g., DWI, DUI, disorderly conduct, domestic violence, etc.) except for minor traffic citations.
• Financial problems, to include Bankruptcy or 120-day delinquencies (or more) or collections of any debt.
• Failure to pay Federal or State/Local Taxes on time.
• Any medical, emotional, or mental condition that might interfere with one’s ability to protect classified information.
• Alcohol or Drug-Related Treatment to include Drug Involvement and Substance Misuse
• Misuse of U.S. Government property or information systems
• Any conduct involving questionable judgment, lack of candor, dishonesty, or unwillingness to comply with rules and regulations.
• Involvement in outside employment or activities if it poses a real or apparent conflict of interest with an individual’s security responsibilities.

Remember, it is the responsibility of individuals in Sensitive Positions to protect CNSI. These individuals must ensure they handle, process, and discuss CNSI only with persons confirmed to hold the appropriate level of clearance and a need-to-know. If you are unsure or need to verify an individual’s security clearance level, please contact ONS DPS. It is also your responsibility to report other individuals in Sensitive Positions if you become aware of any the following issues:

• An unwillingness to comply with rules, regulations, or security requirements
• Any unexplained affluence or excessive indebtedness
• Alcohol abuse
• Illegal use or misuse of drugs or drug activity
• Apparent or suspected mental health issues where there is reason to believe it may impact the individual’s ability to protect classified information or other information prohibited by law from disclosure.
• Any criminal conduct
• Any activity that raises doubt as to whether the individual’s continued national security eligibility is clearly consistent with national security interests
• Misuse of U.S. Government property or information systems

How to Repo​rt?

The Department of Health and Human Services (DHHS) Office of National Security (ONS) has provided the following reporting mechanisms for individuals to use when reporting required information:

• Pre-Travel: If you are traveling outside the United States, you must fill out the HHS Travel Form 30 days prior to your travel.

• Post-Travel Approval Form (HHS-845): To be used within 5 days of return from personal or official travel outside of the United States.

• Self/Peer Reporting Actions and Activities (HHS-846): To be used for any required reporting actions related to oneself and/or peers.

Who Does the SEAD-3 Re​porting Requirement Apply to?

The SEAD-3 Reporting Requirements applies to all persons at NIH that are in Sensitive Positions (see below chart) and/or who have an active National Security Clearance at NIH (i.e. Secret, Top Secret, SCI, etc.). Per the SEAD-3 Directive: “Covered individuals are not limited to government employees and include all persons, not excluded under paragraphs (a), (b), or (c) of this definition, who have access to classified information or who hold sensitive positions, including, but not limited to, contractors, subcontractors, licensees, certificate holders, grantees, experts, consultants, and government employees.”

If you are in a Sensitive Position at NIH or hold an active Security Clearance, this means YOU are required to report as you have a special continuing security obligation and a responsibility for recognizing, avoiding, and reporting personal behaviors of a potential security, counterintelligence, and/or insider threat concern. You must alert appropriate authorities should you become personally involved with or aware of certain activities that may be of potential security, counterintelligence, and/or insider threat concern!

How do I know if I am in a Sensitive Position at the NIH?

Please contact your Administrative Officer (AO) or program office if you do not know what your position designation is at NIH. For Federal Employees, this designation will be reflected on your Official Position Description (OF-8) and Position Designation Record (PDR). The NIH Division of Personnel Security (DPS) administers annual SEAD-3 Reporting Requirements training to all individuals in sensitive positions at NIH. If you received this training, you are in a sensitive position. Please note: Position designation is not to be confused with Emergency Tier Designation.

* The background investigation should not be confused with access for a security clearance. Not every position designated at Tier 3 or Tier 5 will need a security clearance. Only those positions who have a bona fide need-to-know and who possess the requisite justification may be required to have access to classified information and a requisite security clearance. For more information on security clearances, please visit DCSA's website.

SEAD-3 Training Requirements

All persons at NIH who hold a Sensitive Position, have an active security clearance, or have access to classified information, also known as SEAD-3 covered personnel, must complete SEAD-3 reporting Requirements Training on an annual basis. 

The NIH/ORS DPS administers this training from NationalSecurityTraining@mail.nih.gov and/or the HHS Learning Management System. The training consists of reading the SEAD-3 Awareness Briefing Materials and the instructions on when/how to report. Please be sure to also read up on the FAQ and to review additional resources such as the Director of National Intelligence SEAD-3 interactive module for more information on what to report. For staff that have a security clearance, the SEAD-3 training will be combined with the annual training for National Security clearance requirements.

Reso​​urces

• Office of Director of National Intelligence (ODNI) SEAD-3 Interactive Training Module
• ODNI SEAD-3 Toolkit
• SEAD-3 Directive