DOD MANUAL 5200.02
P
ROCEDURES FOR THE DOD PERSONNEL
S
ECURITY PROGRAM (PSP)
Originating Component: Office of the Under Secretary of Defense for Intelligence and Security
Effective:
Change 1 Effective:
Releasability:
April 3, 2017
October 29, 2020
Cleared for public release. Available on the Directives Division Website
at https://www.esd.whs.mil/DD/.
Incorporates and Cancels: DoD 5200.2-R, “Personnel Security Program,” January 1987
Under Secretary of Defense for Intelligence Memorandum, “Minimum
Requirements for Interim Eligibility to Access Secret and Confidential
Information,” January 17, 2014
Approved by: Todd R. Lowery, Performing the Duties of the Under Secretary of Defense
for Intelligence
Change 1 (Administrative)
Approved by: Christopher R. Choate, Chief, Directives Division
Purpose: In accordance with the authority in DoD Directive (DoDD) 5143.01 and DoD Instruction
(DoDI) 5200.02, the issuance implements policy, assigns responsibilities, and provides procedures for
the DoD PSP. This issuance:
• Assigns responsibilities and prescribes procedures for investigations of individuals seeking to hold
national security positions or perform national security duties who are required to complete Standard
Form (SF) 86, “Questionnaire for National Security Positions,” for personnel security investigations
(PSIs).
• Sets procedures for DoD PSP national security eligibility for access determinations; personnel
security actions; continuous evaluation (CE); and security education requirements for employees
seeking eligibility for access to classified information or to hold a sensitive position (referred to in this
manual as “national security eligibility”).
• Prescribes procedures for administrative due process for employees. Administrative due process for
contractor personnel is governed by DoDD 5220.6.
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TABLE OF CONTENTS 2
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 5
1.1. Applicability. .................................................................................................................... 5
1.2. Information Collections. ................................................................................................... 5
1.3. Summary of Change 1. ..................................................................................................... 5
SECTION 2: RESPONSIBILITIES ......................................................................................................... 6
2.1. Under Secretary of Defense for Intelligence and Security (USD(I&S)). ......................... 6
2.2. Director, Defense Intelligence (Intelligence and Security) (DDI&I&S)). ........................ 7
2.3. Director, Defense Security Service (DSS). ....................................................................... 7
2.4. GC DoD. ........................................................................................................................... 8
2.5. Director, Defense Office of Hearings and Appeals (DOHA). .......................................... 8
2.6. Under Secretary of Defense for Personnel and Readiness (USD(P&R)). ........................ 8
2.7. Director, Department of Defense Human Resources Activity (DoDHRA). ..................... 8
2.8. Under Secretary of Defense for Acquisition, Technology, and Logistics
(USD(AT&L)). ................................................................................................................... 9
2.9. Director, Washington Headquarters Services (WHS). ..................................................... 9
2.10. DoD Component Heads. ................................................................................................. 9
2.11. Heads of DoD IC Elements........................................................................................... 11
2.12. Secretary of the Air Force. ............................................................................................ 12
SECTION 3: NATIONAL SECURITY INVESTIGATIONS ...................................................................... 13
3.1. General. ........................................................................................................................... 13
3.2. Federal Investigative Standards (FIS). ............................................................................ 13
3.3. Investigative Requirements. ............................................................................................ 13
3.4. Polygraph. ....................................................................................................................... 14
3.5. Post-Adjudicative Inquiries. ............................................................................................ 14
3.6. Reinvestigations. ............................................................................................................. 14
SECTION 4: SPECIFIC INVESTIGATIVE REQUIREMENTS BY POPULATION ........................................ 17
4.1. Civilian Personnel. .......................................................................................................... 17
4.2. Military Personnel. .......................................................................................................... 20
4.3. Contractors. ..................................................................................................................... 20
4.4. Consultants and Grantees of a DoD Component. ........................................................... 20
4.5. Non-U.S. Citizens Employed Overseas in Support of National Security Positions. ...... 20
4.6. Temporary Employees. ................................................................................................... 21
4.7. Wounded Warrior Security and Intelligence Internship Program (WWSIIP). ............... 21
4.8. Retired General or Flag Officer (GO/FO) or Civilian Equivalent. ................................. 22
4.9. Red Cross and United Service Organization (USO) Personnel. ..................................... 22
4.10. Persons Outside the Executive Branch. ........................................................................ 23
SECTION 5: INVESTIGATIVE REQUESTS ......................................................................................... 25
5.1. General. ........................................................................................................................... 25
5.2. Authorized Requestors. ................................................................................................... 25
5.3. Limitations and Restrictions for Submitting Investigations. .......................................... 25
5.4. Processing Investigative Forms. ..................................................................................... 26
5.5. Temporary (or Interim) National Security Eligibility. .................................................... 29
5.6. One-Time or Short Duration Access............................................................................... 29
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5.7. Accountability of Personnel Security Reports and Records. .......................................... 29
5.8. Subject Request for PSI Report. ..................................................................................... 30
5.9. Records Disposition. ....................................................................................................... 30
APPENDIX 5A: RECIPROCITY ...................................................................................................... 32
5A.1. General. ........................................................................................................................ 32
5A.2. Verify Eligibility. ......................................................................................................... 33
5A.3. Exceptions to Reciprocity. ........................................................................................... 33
5A.4. Annotating Reciprocal Determinations. ....................................................................... 34
5A.5. Additional Reciprocity Guidance for SCI Access. ...................................................... 34
5A.6. Reciprocity for the Nuclear Regulatory Commission and the DOE. ........................... 34
SECTION 6: LAA FOR NON-U.S. CITIZENS .................................................................................... 35
6.1. General. ........................................................................................................................... 35
6.2. Conditions for LAA. ....................................................................................................... 35
6.3. Investigative Requirements. ............................................................................................ 36
6.4. Authorized Access Levels............................................................................................... 36
6.5. Unauthorized Access Levels. .......................................................................................... 37
6.6. Request Procedures. ........................................................................................................ 37
6.7. LAA Determination Authority. ....................................................................................... 38
SECTION 7: NATIONAL SECURITY ADJUDICATIONS ....................................................................... 39
7.1. General. ........................................................................................................................... 39
7.2. Adjudication Authorities. ................................................................................................ 39
7.3. Prohibition on Retaliation by Affecting Eligibility for Access to Classified
Information. ...................................................................................................................... 40
7.4. Adjudicative Guidelines.................................................................................................. 40
7.5. Electronic Adjudication (E-Adjudication). ..................................................................... 40
7.6. Adjudication of National Security Cases. ....................................................................... 40
7.7. DoD Case Management and Adjudication Tracking Systems. ....................................... 41
7.8. Documenting Adjudications. .......................................................................................... 41
7.9. Personnel Performing Adjudicative Functions. .............................................................. 41
7.10. SCI Adjudication. ......................................................................................................... 42
7.11. SAP Adjudication. ........................................................................................................ 43
7.12. Polygraph and Credibility Assessment Procedures. ..................................................... 43
7.13. Adjudication Timelines. ................................................................................................ 43
7.14. Duration of Security Eligibility and Access Determinations. ....................................... 43
7.15. Determining Eligibility with Conditions. ..................................................................... 44
7.16. Interim Eligibility.......................................................................................................... 44
APPENDIX 7A: DETERMINATION AUTHORITIES ............................................................................. 47
7A.1. Officials Authorized to Grant, Deny, Revoke, or Suspend National Security
Eligibility. ......................................................................................................................... 47
7A.2. Officials Authorized to Suspend Access to Classified Information. ........................... 47
7A.3. Officials Authorized to Grant, Deny, or Revoke LAA. ............................................... 48
7A.4. Final Determinations. ................................................................................................... 48
APPENDIX 7B: SPECIAL CIRCUMSTANCES ..................................................................................... 49
7B.1. Adherence to Federal Laws. ......................................................................................... 49
7B.2. Adherence to Federal Laws Prohibiting Marijuana Use. ............................................. 49
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7B.3. Prohibition for all Security Clearances (The “Bond Amendment Prohibition”). ........ 49
APPENDIX 7C: ADJUDICATION OF INCOMPLETE NATIONAL SECURITY INVESTIGATIONS .............. 52
7C.1. General. ........................................................................................................................ 52
7C.2. Factors to Consider....................................................................................................... 52
SECTION 8: ACCESS DETERMINATIONS ......................................................................................... 54
8.1. Access to Classified Information. ................................................................................... 54
8.2. One-Time or Short Duration Access............................................................................... 54
8.3. Special Cases. ................................................................................................................. 55
SECTION 9: PERSONNEL SECURITY ACTIONS ................................................................................. 56
9.1. General. ........................................................................................................................... 56
9.2. Referal of Derogatory Information for Action................................................................ 56
9.3. Loss of Jurisdiction. ........................................................................................................ 57
9.4. Suspension of National Security Eligibility or Access. .................................................. 57
SECTION 10: APPEAL PROCESS ...................................................................................................... 59
10.1. General. ......................................................................................................................... 59
10.2. Minimum Due Process Requirements Applicable to All. ............................................. 59
10.3. Specific Procedures for Contractor Employees. ........................................................... 60
10.4. Specific Procedures for Civilian Employees and Military Members. .......................... 60
10.5. Recording Final Determinatinos. .................................................................................. 63
10.6. Reconsideration............................................................................................................. 63
10.7. Reinstatement of Civilian Employees. .......................................................................... 65
APPENDIX 10A: PSAB STRUCTURE AND FUNCTIONING ................................................................ 66
APPENDIX 10B: PERSONAL APPEARANCES BEFORE DOHA.......................................................... 67
SECTION 11: CE AND REPORTING REQUIREMENTS........................................................................ 69
11.1. General. ......................................................................................................................... 69
11.2. CE Responsibilities. ...................................................................................................... 70
a. Commanders, DoD Component Heads, Directors, Supervisors, and Security
Professionals’ Responsibilities. .................................................................................. 70
b. Employee Responsibilities. .......................................................................................... 72
c. Individual Responsibilities. .......................................................................................... 72
11.3. Additional Reporting Requirements for Individuals with Access to SCI Information. 73
11.4. Financial Disclosure...................................................................................................... 73
11.5. Post-Adjudication Issues. .............................................................................................. 73
SECTION 12: EDUCATION, TRAINING, AND PROFESSIONAL CERTIFICATION .................................. 74
12.1. Education and Training Requirements. ......................................................................... 74
12.2. APC Program. ............................................................................................................... 75
GLOSSARY ..................................................................................................................................... 76
G.1. Acronyms. ...................................................................................................................... 76
G.2. Definitions. ..................................................................................................................... 78
REFERENCES .................................................................................................................................. 85
TABLES
Table 1. PPR Disqualification...................................................................................................... 16
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SECTION 1: GENERAL ISSUANCE INFORMATION 5
SECTION 1: GENERAL ISSUANCE INFORMATION
1.1. APPLICABILITY. This issuance applies to OSD, the Military Departments, the Office of
the Chairman of the Joint Chiefs of Staff and the Joint Staff, the National Guard Bureau, the
Combatant Commands, the Office of Inspector General of the Department of Defense, the
Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD
(referred to collectively in this issuance as the “DoD Components”).
1.2. INFORMATION COLLECTIONS.
a. The PSP policy and procedures assessments, referred to in Paragraph 2.2.d of this manual,
does not require licensing with a report control symbol in accordance with Paragraph 1b(9) of
Section 3 to Volume 1 of DoD Manual 8910.01.
b. Annual DoD PSI Projections Report, referred to in Paragraph 2.10.c of this manual, has
been assigned report control symbol DD-INT(A)2641 in accordance with the procedures in
Volume 1 of DoD Manual 8910.01.
c. The Inspector General reports, referred to in Paragraph 2.10.q of this manual, do not
require licensing with a report control symbol in accordance with Paragraph 1b(6) of Section 3 to
Volume 1 of DoD Manual 8910.01.
d. The annual limited access authorization (LAA) Summary Report, referred to in Paragraph
6.1.c. of this manual, has been assigned report control symbol DD-INT(A)2642 in accordance
with the procedures in Volume 1 of DoD Manual 8910.01.
e. The Bond Amendment Waiver Report, referred to in Paragraph 7B.3.e. of this manual,
does not require licensing with a report control symbol in accordance with Paragraph 1b(16) of
Section 3 to Volume 1 of DoD Manual 8910.01.
1.3. SUMMARY OF CHANGE 1. This administrative change updates:
a. The title of the Under Secretary of Defense for Intelligence to the Under Secretary of
Defense for Intelligence and Security in accordance with Public Law 116-92.
b. Additional organizational changes reflecting direction in statute or Secretary and Deputy
Secretary of Defense direction.
c. Administrative changes in accordance with current standards of the Office of the Chief
Management Officer of the Department of Defense
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SECTION 2: RESPONSIBILITIES 6
SECTION 2: RESPONSIBILITIES
2.1. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE AND SECURITY
(USD(I&S)). The USD(I&S):
a. Serves as the DoD Senior Security Official.
b. Develops policy, guidance, and oversight for the DoD Personnel Security Program (PSP),
in accordance with DoDD 5143.01, in that capacity reviews and approves DoD Components’
policy and procedures governing civilian, military, and contractor personnel PSPs within the
DoD.
c. Ensures that the DoD PSP is consistent, cost effective, efficient, and balances the rights of
individuals with the interests of national security.
d. Coordinates with the General Counsel of the Department of Defense (GC DoD) to ensure
legal sufficiency of DoD personnel security policy and procedures, in accordance with DoDI
5145.03.
e. Oversees DoD national security investigations, adjudications, and access determinations
pursuant to Executive Order (E.O.) 12968 and national security adjudicative guidelines in the
August 30, 2006 Under Secretary of Defense for Intelligence (USD(I)) Memorandum.
f. Issues and interprets all policies governing the Joint Personnel Adjudication System
(JPAS), as defined in the Glossary.
g. Oversees the implementation of PSP policy pertaining to sensitive compartmented
information (SCI) pursuant to Chapter 3 of Title 5, United States Code (U.S.C.), and Intelligence
Community Directive Number 704.
h. Develops and oversees administration of that portion of the DoD PSP pertaining to DoD
Special Access Programs (SAPs) in accordance with DoDD 5205.07.
i. Oversees integration of PSP requirements in other DoD issuances.
j. Ensures DoD Components integrate security education and awareness into their PSPs.
k. Requires DoD Components to adequately resource their programs for military, civilian,
and contractor personnel investigations and meet established personnel security policies and
procedures.
l. Coordinates with investigative service providers (ISPs) on background investigation
quality issues in accordance with national policy and inter-agency agreements.
m. Monitors DoD compliance with Section 3341 of Title 50, U.S.C. investigative and
adjudicative timelines.
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n. Approves adoption of DoD enterprise-wide personnel security systems of record.
o. Issues and interprets policy for the Adjudicator Professional Certification (APC) program.
p. Reviews and makes determinations on DoD Component requests for waivers to personnel
security policy.
q. Issues policy, assigns responsibilities, and prescribes procedures for CE within the DoD
Personnel Security Program, in accordance with E.O. 12968.
2.2. DIRECTOR, DEFENSE INTELLIGENCE (INTELLIGENCE AND SECURITY)
(DDI&I&S)). Under the authority, direction, and control of the USD(I&S), the DDI(I&S):
a. Oversees DoD personnel security policy matters.
b. Provides staff assistance to the DoD Components in resolving day-to-day personnel
security policy and operating problems.
c. Provides personnel security policy guidance and interpretation to the DoD Components.
d. Assesses the DoD Components for implementation and compliance with DoD PSP policy
and procedures.
e. Approves, coordinates, and oversees all DoD personnel security research initiatives and
activities, excluding research efforts relating to individual DoD Components.
2.3. DIRECTOR, DEFENSE SECURITY SERVICE (DSS). Under the authority, direction,
and control of the USD(I&S), in addition to the responsibilities in Paragraph 2.10 and in
accordance with DoDD 5105.42, the Director, DSS:
a. Reports to USD(I&S) Security Policy and Oversight Division by May 15 the annual
contractor personnel PSI workload projections for the National Industrial Security Program
(NISP), to include the number and type of clearances required and funding requirements in
accordance with DoDI 5220.22.
b. Budgets, funds, and submits background investigation requests for contractor personnel
who require access to classified information under the NISP.
c. Processes, reviews, and grants interim personnel security eligibility for contractor
personnel under the NISP where DoD serves as the Cognizant Security Agency (CSA) in
accordance with DoDI 5220.22.
d. Determines, after consultation with the GC DoD, when action should be taken in the
interests of national security to suspend a contractor personnel clearance eligibility in accordance
with the provisions of Volume 2 of DoDM 5220.22 and the May 13, 2009 USD(I)
Memorandum.
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e. Establishes and administers education, training, and certification programs for the
personnel security discipline and related systems (e.g., the Security Professional Education
Development Program (SPēD)) in accordance with DoDI 3305.13 and JPAS.
f. Maintains certification records and related documentation in accordance with DoDI
3305.13 and DoD 3305.13-M.
g. Confirms that the applicable government contracting activity has a valid need before
approving extensions of interim eligibility beyond 1 year.
2.4. GC DOD. The GC DoD, in consultation with the USD(I&S) and pursuant to DoDI
5145.03, establishes guidance, provides legal advice, and exercises legal oversight of the DoD
PSP to ensure fair, timely, and consistent treatment of individuals and to verify that the rights of
individuals are being protected in accordance with the Constitution, laws of the United States,
E.O.s, and DoD policy.
2.5. DIRECTOR, DEFENSE OFFICE OF HEARINGS AND APPEALS (DOHA). Under
the authority, direction, and control of the GC DoD, the Director, DOHA, conducts hearings and
appeals in accordance with this manual and DoDD 5220.6 as applicable.
2.6. UNDER SECRETARY OF DEFENSE FOR PERSONNEL AND READINESS
(USD(P&R)). The USD(P&R) provides applicable position designation guidance, integrating
and complementing existing regulations (e.g., information assurance, information technology,
Counterintelligence (CI)) to the DoD Components as established in the May 10, 2011
USD(P&R) Memorandum.
2.7. DIRECTOR, DEPARTMENT OF DEFENSE HUMAN RESOURCES ACTIVITY
(DODHRA). Under the authority, direction, and control of the USD(P&R), the Director,
DoDHRA, through the Director, Defense Manpower Data Center:
a. Plans, programs, executes, updates, and maintains information technology systems to
support the DoD PSP as well as future initiatives and applications approved by the USD(I&S)
(e.g., automated clean case screening and automated records checks).
b. Coordinates with the Office of the Under Secretary of Defense for Intelligence and
Security (OUSD(I&S)), DoD Consolidated Adjudication Facility (CAF), DoD Components, and
the Office of the Chief Management Officer of the Department of Defense (CMO) to develop,
coordinate, and publish procedures and processes on the management and accessibility of data in
JPAS.
c. Sustains personnel security databases, applications, and collateral operations in
accordance with the February 2, 2010 Memorandum of Agreement.
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d. Provides personnel security data to the OUSD(I&S) and to DSS as requested by
OUSD(I&S).
e. Provides analysis, research, and development support through the Defense Personnel and
Security Research Center to OUSD(I&S), to advance DoD personnel security policy, programs,
and DoD and Executive Branch reform efforts.
2.8. UNDER SECRETARY OF DEFENSE FOR ACQUISITION, TECHNOLOGY, AND
LOGISTICS (USD(AT&L)). In coordination with the Director, DSS, the USD(AT&L)
establishes policies and procedures to ensure applicable personnel security requirements for
classified access in contracts are enforced.
2.9. DIRECTOR, WASHINGTON HEADQUARTERS SERVICES (WHS). Under the
authority, direction, and control of the CMO, and in addition to the responsibilities in Paragraph
2.10, the Director, WHS:
a. Conducts national security eligibility adjudications for the Department of the Army,
Department of the Navy, Department of the Air Force, Joint Chiefs of Staff, contractor
employees, and DoD agencies in accordance with the October 20, 2010 Deputy Secretary of
Defense Memorandum, and for personnel outside the Executive Branch and for certain non-DoD
Agencies pursuant to agreements.
b. Establishes policy and procedures, in conjunction with OUSD(I&S), for DoD
Consolidated Adjudications Facility (DoD CAF operations).
c. Exercises certain head of the IC element authorities to determine Sensitive
Compartmented Information (SCI) eligibility in accordance with the October 22, 2012 Director
of National Intelligence (DNI) Memorandum.
d. Establishes a quality assurance program that:
(1) Determines the completeness of national security investigations and adjudicative
rationales in accordance with the November 8, 2009 and August 31, 2010 USD(I)
Memorandums.
(2) Evaluates incomplete national security investigations in accordance with the July 13,
2010 and March 10, 2010 USD(I) Memorandums.
2.10. DOD COMPONENT HEADS. The DoD Component heads:
a. Appoint a senior security official to be responsible for direction, overall management,
functioning, and administration of the Component’s PSP.
b. Provide a point of contact (POC) for PSI workload projections to OUSD(I&S).
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c. Provide annual PSI workload projections to OUSD(I&S) no later than May 15. PSI
projections should be within 5 percent of actual submissions.
d. Commit resources to satisfy projected PSP, PSI, and reinvestigation requirements to
include contractor personnel PSIs when eligibility is required for positions of trust without
access to classified information.
e. Validate and ensure prompt payment of ISP bills for all investigations ordered.
f. Ensure applicable personnel security requirements are included in all contracts,
agreements, memorandums of understanding, and other similar documents.
g. Establish and maintain an ongoing self-inspection program to annually evaluate and
assess the effectiveness and efficiency of the Component’s implementation of the DoD PSP.
h. Direct commanders and activity heads to designate, in writing, an activity personnel
security manager and, as appropriate, activity assistant security managers, who are given the
authority to assist in program implementation, maintenance, and local oversight to ensure
personnel adhere to program requirements. The activity personnel security manager will have
direct access organizationally to activity leadership and will be organizationally aligned to
oversee prompt and appropriate attention to PSP requirements.
i. Provide guidance, direction, and oversight necessary to ensure an appropriate training
program addressing personnel security (e.g., SPēD) is administered effectively and in accordance
with DoDI 3305.13 and DoD 3305.13-M.
j. Report information of a CI or security concern to the appropriate CI, law enforcement, or
security authority in accordance with law and policy. Develop, distribute, and oversee
procedures to meet standard reporting requirements for issues of security concern pertaining to
subjects of national security eligibility determinations in accordance with Section 11 of this
manual.
k. Establish a program for employees with access to classified information to:
(1) Educate employees about individual responsibilities under the PSP.
(2) Inform employees about guidance and assistance available concerning issues that
may affect their eligibility for access to classified information, including sources of assistance for
employees who have questions or concerns about financial matters, mental health, or substance
abuse.
l. Provide security, CI, and country awareness briefings, including applicable geographic
Combatant Command force protection briefings, to individuals before foreign travel and conduct
post-travel debriefings in accordance with DoDD 5240.06, DoDI 5200.39, and Volume 1 of
DoDI O-2000.16.
m. Ensure that results of investigations are delivered to the DoD CAF or appropriate DoD IC
central adjudication facilities for adjudication regardless of the source of the original request
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SECTION 2: RESPONSIBILITIES 11
when requesting background investigations or reinvestigations for national security eligibility
determinations.
n. Actively participate in the CE program as outlined in Section 11 of this manual.
o. Ensure personnel are trained on their security responsibilities in accordance with national
security adjudicative guidelines in the August 30, 2006 USD(I) Memorandum, E.O. 13526, and
the November 12, 2012 Presidential Memorandum and establish procedures to brief individuals
at least annually.
p. Develop formal procedures to report misconduct, violations, or adverse information by
contractor personnel to the appropriate adjudication facility.
q. Ensure inspector general investigations into misconduct by contractor personnel are
recorded in the Defense Central Index of Investigations in accordance with DoDI 5505.07 and
DoDI 5505.16 and are reported to DSS and the appropriate adjudication facility.
r. Submit and resource investigation requests for contractor personnel outside the NISP (i.e.,
investigations required for other than access to classified information).
s. Create and maintain records for contractor personnel investigations outside the NISP in
the appropriate system of record.
t. Record access determinations and indoctrinations into the approved system of record and
record access debriefings and separations as soon as individuals separate or terminate affiliation
with the access granting authority.
u. Ensure personnel data in JPAS are valid, accurate, and current. Institute procedures to
update data on a daily basis.
v. Ensure all Component actions support the opportunity for appeal and that actions required
to process appeals are performed in accordance with the procedures in this manual.
w. Ensure requests for periodic reinvestigations are initiated in a timely manner, as described
in Paragraph 3.6. of this manual.
x. Ensure contracts for contractor personnel in support of adjudications include requirements
specified in Paragraph 4.7.b.
2.11. HEADS OF DOD IC ELEMENTS. In addition to the responsibilities in Paragraph 2.10,
the heads of DoD IC elements will investigate, adjudicate, and grant eligibility for access to SCI
and other controlled access program information pursuant to Title 5, U.S.C., Intelligence
Community Directive 704, and Intelligence Community Policy Guidance Numbers 704.1, 704.2,
704.3, 704.4, and 704.5.
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SECTION 2: RESPONSIBILITIES 12
2.12. SECRETARY OF THE AIR FORCE. In addition to the responsibilities in Paragraph
2.10, the Secretary of the Air Force:
a. Serves as the single POC to provide information technology funding, hosting, and
technical support for the Central Adjudication Security Personnel Repository or successor
system to support the DoD’s PSI billing responsibilities for military, civilian, and contractor
personnel investigations, in accordance with the January 15, 2009 Deputy Secretary of Defense
Memorandum and the August 6, 2009 Memorandum of Agreement between OUSD(I&S) and the
Air Force.
b. Serves as the POC for military, civilian, and contractor personnel investigations to
receive, manage, report on, monitor, evaluate, and resolve DoD bills for national security
investigations from the U.S. Office of Personnel Management (OPM), in accordance with the
August 6, 2009 Memorandum of Agreement between OUSD(I&S) and the Air Force. The POC:
(1) Provides copies of billing data to OUSD(I&S) and Defense Personnel Security and
Research Center as needed.
(2) Notifies OUSD(I&S) of any unresolved billing issues.
(3) Conducts all financial transactions with OPM in accordance with Section 305,
Chapter 3 of Volume 4 of DoD 7000.14-R.
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SECTION 3: NATIONAL SECURITY INVESTIGATIONS 13
SECTION 3: NATIONAL SECURITY INVESTIGATIONS
3.1. GENERAL. Military, civilian, contractor, consultant, and other affiliated personnel
assigned to national security positions or required to perform national security duties will be
subject to investigation to determine whether they are and will remain reliable, trustworthy, of
good conduct and character, and loyal to the United States and whether granting or continuing
national security eligibility is clearly consistent with the national interest.
a. Civilian position sensitivity will not be downgraded to facilitate recruitment or retention
of personnel or to accommodate adverse security determinations.
b. Investigative requests will not be submitted for eligibility higher than what has been
designated for the position or required for the duty to be performed.
c. Non-U.S. citizens who will require eligibility for access to classified information must
follow the LAA procedures in Section 6 of this manual. The number of LAA requests must be
minimized.
3.2. FEDERAL INVESTIGATIVE STANDARDS (FIS).
a. The OPM Federal Investigative Notice 97-02 provides a summary of the FIS and the
scope of the investigations used to grant national security eligibility. Additional requirements
that exceed the FIS are not authorized.
b. The FIS, established by the December 13, 2008 DNI and OPM Memorandum, are being
deployed in phases. The standards apply to investigations that determine eligibility for access to
classified information, to hold a national security position, for physical and logical access, and
for suitability for government employment.
3.3. INVESTIGATIVE REQUIREMENTS.
a. Occupants of national security positions and those performing national security duties for
any DoD Component are subject to investigation unless they meet the reciprocity standards in
Section 3. Civilian employee investigative requirements for competitive and excepted service
are the same.
b. Authorized investigations are:
(1) Single Scope Background Investigation (SSBI) or its Equivalent Under the FIS.
SSBIs are conducted to meet investigation requirements established by DoDD 5105.42 for those
seeking to hold special-sensitive or critical-sensitive positions, and those requiring eligibility for
access to Top Secret (TS), SCI, and Department of Energy (DOE) “Q” level information.
(2) Access National Agency Check and Inquiries (ANACI) or its Equivalent Under the
FIS. The ANACI is the required initial minimum investigative requirement for federal civilian
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employees who require access to Secret, Confidential, or DOE “L” level classified information
or eligibility to hold non-critical sensitive positions.
(3) National Agency Check with Law and Credit (NACLC) or its Equivalent Under the
FIS. Except as required by Paragraph 3.3.b(2), the NACLC is the required minimum
investigation for:
(a) Contractor personnel for eligibility for access at the Confidential, Secret, and
DOE “L” levels.
(b) Individuals seeking entry into the Military Departments (active duty, guard, or
reserve) in accordance with the January 8, 2004 Deputy Under Secretary of Defense
Memorandum.
(c) Service members requiring eligibility for access to Secret, Confidential, and DOE
“L” levels.
(d) Individuals other than federal civilian employees requiring eligibility to occupy
non-critical sensitive positions such as a consultant.
(e) Federal employees, contractor personnel, and Service members for continued
access to Confidential or Secret information. Reinvestigations are discussed in Paragraph 3.6.
c. Investigative requirements for other populations are outlined in Section 4 of this manual.
d. A SSBI, ANACI, NACLC, or an equivalent investigation completed within the past 5
years may be used to meet investigative requirements if the previous investigation was favorably
adjudicated.
3.4. POLYGRAPH. The polygraph may be used as a personnel security screening measure in
accordance with DoDD 5210.48 and as stated in Paragraph 4.10.
3.5. POST-ADJUDICATIVE INQUIRIES. Post-adjudicative inquiries may be conducted by
adjudication facility personnel or an approved ISP, as appropriate, to resolve any issues pertinent
to the guidelines discussed in national security adjudicative guidelines in the August 30, 2006
USD(I) Memorandum with respect to an individual’s national security eligibility. CE and
reporting requirements are addressed in Section 8 of this issuance.
3.6. REINVESTIGATIONS. In accordance with the FIS, reinvestigations may be performed
at any time after national security eligibility has been granted. Additionally, DoD employees in
national security positions and contractor personnel performing national security duties will be
subject to periodic reinvestigation (PR) on a recurring basis as described in this section.
Submission of out-of-cycle reinvestigations must be justified before approval of the submission.
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a. PR requests will be submitted no earlier than 3 months before the respective anniversary
date of the close date of the last investigation.
b. Military and civilian personnel for whom periodic investigative requests are initiated must
have at least 12 months remaining in service or employment.
c. Every effort should be made to ensure PRs are conducted within the prescribed timeframe
so as not to undermine the ability of the DoD to accomplish its mission.
(1) National security eligibility will not be administratively downgraded nor access
suspended based solely on the fact that a reinvestigation was not completed within the specific
timeframe as long as the required reinvestigation was requested within the specific timeframe.
Failure or refusal to complete forms and requests for reinvestigations on a timely basis can be
grounds for termination of eligibility and will be reported to the appropriate adjudicative facility.
Commanders and supervisors, in coordination with the security professional, will enforce
reinvestigation requirements.
(2) National security eligibility will not be terminated for individuals who are
unavailable to submit the required reinvestigation due to extended operational deployments,
illness, or like situations. DoD Components will make every effort to ensure the requisite
background investigation is submitted before deployment or when the individual is otherwise
unavailable for a prolonged period. Individuals must submit the reinvestigation promptly upon
return to work or duty status.
d. A national security eligibility determination is deemed current if the reinvestigation is
submitted to the investigation service provider within 5 years of the previous investigation close
date. Personnel assigned to a North Atlantic Treaty Organization (NATO) staff positions may
submit a reinvestigation request up to 1 year in advance of the required timeframe in accordance
with DoDD 5100.55.
(1) Noncritical-sensitive or Equivalent Positions. The NACLC is the reinvestigation
required for military, civilian, and contractor personnel requiring continuing eligibility for access
to classified information no higher than Secret and for those civilian personnel occupying
noncritical-sensitive positions. The reinvestigation will be initiated no later than 5 years from
the close of the previous investigation.
(2) Special-sensitive and Critical-sensitive or Equivalent Positions. Each DoD military
and civilian employee occupying a special-sensitive or critical-sensitive position and each
contractor personnel requiring continuing national security eligibility at an equivalent level will
undergo a reinvestigation initiated on a 5-year recurring basis. There are two types of
reinvestigations for the SSBI. Security professionals should use the phased periodic
reinvestigation disqualification table to determine the appropriate PR to request to conserve
resources.
(a) Single Scope Background Investigation – Periodic Reinvestigation (SSBI-PR).
The SSBI-PR must be requested if the subject discloses or the requestor is otherwise aware of
information listed in the PPR disqualification table.
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(b) Phased Periodic Reinvestigation (PPR). The PPR may be requested if the subject
does not disclose anything of a security concern as part of the background information furnished
for investigation. Select questions from the SF 86 constitute the criteria for determining when an
SSBI-PR may be submitted as a PPR. Submit reinvestigations as PPRs unless a positive
response is annotated for the items listed in the Table:
Table 1. PPR Disqualification
Citizenship
Subject is not a U.S. citizen, or has renounced or otherwise lost U.S.
citizenship since the last investigation.
Dual Citizenship
Subject is a dual citizen or has obtained dual citizenship since the last
investigation.
Foreign Activities
Subject has been employed by or acted as a consultant for any foreign
government, firm, or agency; has engaged in any contact with a foreign
government or its establishments or representatives on other than official
U.S. Government business; or holds or has been issued a foreign
passport.
Medical Record
Since the last investigation, subject has undergone mental health
treatment that is reportable under Section 21 of the SF-86.
Police Record
Subject has been charged with or convicted of any criminal offenses
(excluding traffic violations that do not involve alcohol or drugs,
resulting in fines less than $300) since the last investigation.
Use of Alcohol
Subject has abused alcohol or has received any alcohol-related treatment
or counseling since the last investigation.
Unauthorized Use
of Illegal Drugs
and Drug Activity
Subject has used any drugs illegally since the last investigation.
Financial Records
Subject provided positive response to questions regarding bankruptcy;
gambling; failing to file or pay taxes; violation of government credit or
travel card; seeking credit counseling; having financial issues involving
court, Internal Revenue Service, or similar enforcement; or financial
issues involving routine accounts.
Investigation
Record
Subject has had an access authorization denied, suspended, or revoked,
or has been barred from federal employment since the last investigation.
Association
Record
Subject has associated with any individuals or groups dedicated to the
violent overthrow of the U.S. Government or has acted to do so.
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SECTION 4: SPECIFIC INVESTIGATIVE REQUIREMENTS BY
POPULATION
4.1. CIVILIAN PERSONNEL.
a. Civilian Positions and Sensitivity Levels. Position designations are necessary to
determine the requisite type of investigation. Consistent with the requirements of Part 732 of
Title 5, U.S.C., DoD Components will designate civilian positions (competitive service, excepted
service, Senior Executive Service, or other civilian positions, as prescribed in E.O. 10450 that
require the occupant to perform national security duties as an employee of the federal
Government with a sensitivity level in accordance with the May 10, 2011 USD(P&R)
Memorandum and, as applicable, OPM guidance). Civilian position sensitivity will not be
downgraded solely to facilitate recruitment or retention of personnel or to accommodate adverse
security determinations. There are three levels of sensitivity pursuant to Part 732 of Title 5,
U.S.C. that pertain to civilian personnel in national security positions:
(1) Special-sensitive. A special-sensitive civilian national security position is one with
potential for inestimable damage to the national security or for inestimable adverse impact to the
efficiency of the Department or the Military Departments. This includes:
(a) Positions requiring eligibility for access to SCI.
(b) Positions requiring eligibility for access to unique or uniquely productive
intelligence-related special-sensitive information or involvement in SAPs.
(c) Any other civilian position the DoD Component head determines to be at a higher
level than critical-sensitive due to special requirements that complement E.O. 12968 and E.O.
10450.
(2) Critical-sensitive. Any civilian national security position that has the potential to
cause exceptionally grave damage to the national security including, but not limited to:
(a) Positions requiring eligibility for access to TS or DOE “Q” level classified
information.
(b) Positions involving development or approval of war plans, major or special
operations of war, or critical and extremely important items of war.
(c) National security policy-making or policy-determining positions, the duties of
which have the potential to cause exceptionally grave damage to the national security.
(d) Positions involving investigative duties, including handling of CI investigations
or background investigations, the nature of which has the potential to cause exceptionally grave
damage to the national security.
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(e) Positions related to the adjudication, recommendation of adjudicative
determinations, or granting of national security eligibility.
(f) Positions involving duty on personnel security boards.
(g) Positions concerned with development or approval of plans, policies, or programs
that affect overall DoD or DoD Component operations.
(h) Positions related to the conduct of CI activities.
(i) Senior management positions in key programs, the compromise of which could
result in grave damage to the national security.
(j) Positions having direct involvement with diplomatic relations and negotiations.
(k) Positions involving independent responsibility for planning or approving
continuity of government operations.
(l) Positions involving major and immediate responsibility for, and the ability to act
independently without detection to compromise or exploit, the protection, control, and safety of
the nation’s borders and ports or immigration or customs control or policies, where there is a
potential to cause exceptionally grave damage to the national security.
(m) Positions involving major and immediate responsibility for and the ability to act
independently without detection to compromise or exploit the design, installation, operation, or
maintenance of critical infrastructure systems or programs.
(n) Positions in which the occupant has the ability to independently damage public
health and safety with devastating results.
(o) Positions in which the occupant has the ability to independently compromise or
exploit biological select agents or toxins, chemical agents, nuclear materials, or other hazardous
materials.
(p) Positions in which the occupant has the ability to independently compromise or
exploit the nation’s nuclear or chemical weapons designs or systems.
(q) Positions in which the occupant obligates, expends, collects, or controls revenue,
funds, or items with monetary value in excess of 50 million dollars, or procures or secures
funding for goods or services with monetary value in excess of 50 million dollars annually, with
the potential for exceptionally grave damage to the national security.
(r) Positions in which the occupant has unlimited access to and control over
unclassified information, which may include private, proprietary, or other controlled unclassified
information, but only where the unauthorized disclosure of that information could cause
exceptionally grave damage to the national security.
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(s) Positions in which the occupant has direct, unrestricted control over supplies of
arms, ammunition, or explosives or control over any weapons of mass destruction.
(t) Positions in which the occupant has unlimited access to or control of access to
designated restricted areas or restricted facilities that maintain national security information
classified at the TS or “Q” level.
(u) Positions working with significant life-critical or mission-critical systems, such
that compromise or exploitation of those systems would cause exceptionally grave damage to
essential government operations or national infrastructure.
(v) Positions in which the occupant conducts internal or external investigation,
inquiries, or audits related to the functions described in Paragraphs 4.1.a(2)(a) through
4.1.a(2)(u), where the occupant’s neglect, action, or inaction could cause exceptionally grave
damage to the national security.
(w) Positions so designated by the DoD Component head.
(3) Noncritical-sensitive. Any civilian national security position that has the potential to
cause significant or serious damage to the national security. This may include civilian national
security positions:
(a) Requiring eligibility for access to Confidential, Secret, or DOE “L” level
information.
(b) Not requiring eligibility for access to classified information, but having the
potential to cause significant or serious damage to the national security.
(c) With access to automated systems that contain military active duty, guard, or
reservists’ personally identifiable information or information pertaining to Service members that
is otherwise protected from disclosure by DoD 5400.11-R where such access has the potential to
cause serious damage to the national security.
(d) Designated by the DoD Component head.
b. Investigative Requirements and Civilian Positions.
(1) Special-sensitive and Critical-sensitive. Civilian personnel in special-sensitive and
critical-sensitive positions require a favorably adjudicated SSBI or its equivalent.
(2) Noncritical-sensitive. Civilian personnel in noncritical-sensitive positions require a
favorably adjudicated ANACI or its equivalent. A NACLC or its equivalent may be used for
appointment provided an ANACI has been requested from an authorized ISP and there is no
more than 24 months break in service.
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4.2. MILITARY PERSONNEL.
a. The appointment, enlistment, and induction of each member of the Military Departments
or their Reserve Components will be based on a favorably adjudicated PSI.
b. The NACLC, or its equivalent, is the minimum investigation required for entry into the
Military Departments.
c. The NACLC, or its equivalent, will be conducted upon re-entry to any Military
Department component when there has been a break in service longer than 24 months.
4.3. CONTRACTORS. PSI requirements for contractor personnel requiring national security
eligibility are addressed in DoD 5220.22-M.
4.4. CONSULTANTS AND GRANTEES OF A DOD COMPONENT.
a. A consultant or grantee who is directly engaged by a DoD Component (as opposed to an
employee of a contractor) and requires national security eligibility only at the Component’s
activity or in connection with authorized visits does not fall under the NISP. For purposes of
national security adjudicative guidelines in the August 30, 2006 USD(I) Memorandum and this
manual, investigations for such personnel will proceed in the same manner as for DoD
Component employees. The consultant or grantee will be issued national security eligibility in
accordance with the guidance in this manual.
b. Investigations required to support the consultant’s or grantee’s national security eligibility
will be conducted by the designated ISP and adjudicated by a DoD adjudication facility.
c. When compelling reasons exist, non-U.S. citizens functioning as consultants or grantees
to the DoD Components may be considered for LAA as specified in Section 3 of this manual.
4.5. NON-U.S. CITIZENS EMPLOYED OVERSEAS IN SUPPORT OF NATIONAL
SECURITY POSITIONS.
a. A non-U.S. citizen employed by the DoD Components overseas, who provides support to
national security positions and who does not require access to classified information, will be
subject to the following record checks initiated (before employment) by the DoD Components.
International, bi-lateral, or subsidiary agreements governing locally hired employees may require
additional investigation. The minimum required checks are:
(1) Host government law enforcement and security agency checks at the city, State
(province), and national level whenever permissible by the laws of the host government and
when practical, considering CI responsibilities in accordance with DoDD 5240.02.
(2) DoD-approved automated records checks.
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(3) Federal Bureau of Investigation (FBI) records (where information exists indicating
residence by the non-U.S. citizen in the United States for 1 year or more since age 18).
b. The DoD Components assume responsibility for permitting access to DoD systems,
unclassified information, material, and areas when an investigation conducted by the host
country does not meet the investigative standards of this manual.
c. The DoD Components will allow access to unclassified information by a non-U.S. citizen
only in accordance with applicable disclosure policies and when such access cannot cause
significant or serious damage to U.S. national security.
d. The DoD Components may choose to include additional checks as appropriate.
4.6. TEMPORARY EMPLOYEES. Unless approved as a waiver by the DoD Component
senior security official or the head of an IC element (in the case of SCI), temporary, intermittent,
summer hires, and seasonal employees (not to exceed 180 days) will not be assigned to special-
sensitive or critical-sensitive positions. Any temporary, intermittent, summer hire, or seasonal
employee who is granted national security eligibility must be 18 years of age or older on or
before national security eligibility is granted. Copies of all waivers granted will be provided to
the DDI(I&S).
4.7. WOUNDED WARRIOR SECURITY AND INTELLIGENCE INTERNSHIP
PROGRAM (WWSIIP). PSIs in support of designated wounded Service members may be
submitted and processed regardless of the time remaining in service.
a. Category 2 wounded, ill, or injured Service members who expect to be separated with a
medical disability rating of 30 percent or greater may submit investigative requests for TS with
SCI access eligibility before medical separation as long as they are serving in or have been
nominated for a wounded warrior internship program.
b. The investigations will be funded by the DoD office offering the internship. If the office
offering the internship does not have funds available, the owning Military Department may
choose to fund the investigation.
c. Investigations submitted in support of WWSIIP should:
(1) Not request priority service.
(2) Include the extra coverage code “WW” in Block B of the “Agency Use Only” section
of the SF 86. This will expedite scheduling and completion of investigations submitted in
support of the WWSIIP.
(3) Notify OPM via e-mail to [email protected]. Include the subject’s full
name, the electronic application (e-application) request identification number, and the DoD POC
should OPM need additional information.
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4.8. RETIRED GENERAL OR FLAG OFFICER (GO/FO) OR CIVILIAN
EQUIVALENT.
a. An active duty GO/FO or civilian equivalent may determine that there are compelling
reasons to grant a retired GO/FO or civilian equivalent access to classified information in
connection with a specific DoD program or mission. In these instances, an active duty GO/FO or
civilian equivalent may provide access to classified information for a period not to exceed 1 year.
Further, in these instances, the investigative requirements of this manual may be waived. The
access will be limited to classified information at a level commensurate with the security
eligibility held at the time of retirement, or within 24 months before retirement, but excludes
access to SAPs. Access to SAPs requires compliance with access eligibility review as
determined by the SAP Central Office with cognizant or oversight authority.
b. Requests for SCI or SAP access will be processed in accordance with this manual, DNI
policy, and DoDD 5205.07, as applicable.
c. The GO/FO or civilian equivalent approving the access to classified information will
provide the appropriate adjudication facility a written record of the following data for retention
in the DoD adjudicative system of record for 2 years after access is granted:
(1) The name and social security number of the former employee granted access.
(2) The date and level of access authorized.
(3) Compelling reason to grant the access and the benefit to the DoD mission or event.
(4) Identity of the approving authority.
d. The classified materials involved will not be removed from the confines of a government
installation or other area approved for storage of DoD classified information.
4.9. RED CROSS AND UNITED SERVICE ORGANIZATION (USO) PERSONNEL.
a. Red Cross and USO employees will be accepted for assignment or for continued
assignment with Military Departments overseas or for national security eligibility provided
acceptance is consistent with the national interest and DoD personnel security policy.
b. U.S. citizen employees in national security positions will undergo an NACLC or its
equivalent investigation before being nominated for assignment with the Military Departments
overseas.
c. Non-U.S. citizen employees will undergo an investigation as outlined in Paragraph 4.5.
d. A completed SF 86 will be forwarded to the ISP for the initiation of the investigation, if
applicable.
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e. The results of the investigation will be forwarded to the DoD CAF for an eligibility
determination of the employee. The DoD CAF records these determinations in the DoD
adjudication system of record.
f. Whenever information of an adverse nature is received indicating that an employee’s
assignment or continued assignment with the Military Departments overseas may not be
consistent with the national interest, the information will be forwarded to the DoD CAF to
initiate or expand the investigation.
g. Due process provisions in DoDD 5220.6 apply to Red Cross and USO personnel.
h. The DoD CAF will serve as the contact for the Red Cross and USO in all matters
pertaining to the procedures stated, while the DOHA will provide all due process.
4.10. PERSONS OUTSIDE THE EXECUTIVE BRANCH. National security eligibility held
by persons outside the Executive Branch will be accomplished in accordance with Chapter 15 of
Title 50, U.S.C. The investigative requirement will be the same as for persons inside the
Executive Branch at the appropriate level of national security eligibility, except as indicated:
a. Members of the U.S. Senate and House of Representatives do not require national security
eligibility for access to DoD classified information. They may be granted access to DoD
classified information that relates to matters under the jurisdiction of the respective committees
to which they are assigned and is needed to perform their duties in connection with such
assignments.
b. Members of the U.S. Supreme Court, the federal judiciary, and the Supreme Courts of the
individual States do not require national security eligibility. They may be granted access to DoD
classified information to the extent necessary to adjudicate cases being heard before these
individual courts.
c. State governors do not require national security eligibility. They may be granted access to
specifically designated classified information on a need-to-know basis, which is contingent upon
affirmation by the Secretary of Defense or a DoD Component head that access, under the
circumstances, serves the national interest.
d. Congressional staff members requiring access to DoD classified information will be
processed for national security eligibility in accordance with this manual.
(1) The Director, WHS, will initiate the required investigation (initial or reinvestigation)
to the ISP, adjudicate the results, and grant, deny, or revoke the security eligibility.
(2) The DoD CAF will notify the Assistant Secretary of Defense for Legislative Affairs
of the completed eligibility action via the DoD adjudicative system of record. This notification
will include only the status of the national security eligibility action; not characterization or
details about the action.
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e. Staff personnel of a governor’s office requiring access to classified information will be
investigated and cleared in accordance with the procedures of this manual when the DoD
Component head affirms that such eligibility serves the national interest.
f. The Department of Homeland Security is responsible for processing national security
eligibility actions for State, local, tribal, and private sector entities in accordance with E.O.
13549, through its State and Local Security Clearance Program on a reimbursable basis, when
required by an authorized sponsoring agency. The appropriate Military Department is
responsible for processing national security eligibility for State government employees who
provide direct support to DoD missions through National Guard elements. DSS is responsible
for processing contractor clearances for State, local, tribal, and private sector entities when
access to classified information is required in accordance with E.O. 12829.
g. Attorneys representing DoD military and civilian personnel who require access to DoD
classified information to properly represent their clients will normally be investigated by the
DoD ISP and cleared in accordance with standard procedures for the required level of access.
(1) The General Counsel or Judge Advocate General of the DoD Component involved in
the litigation (as applicable for matters under their cognizance) will certify that attorney access to
specified classified information is necessary to adequately represent the client.
(2) In exceptional instances, when the exigencies of a given situation do not permit
timely compliance with the provisions of this section, access may be granted with the written
approval of an authority designated in Appendix 1 to Section 7 of this manual, provided that, at a
minimum:
(a) A favorable FBI name check and FBI fingerprint check have been completed.
(b) An SF 312, “Classified Information Nondisclosure Agreement,” or other non-
disclosure agreement approved by the DNI has been executed consistent with Volume 1 of DoD
Manual (DoDM) 5200.01.
(c) The appropriate PSI has been requested.
(3) In post-indictment cases, after a judge has invoked the security procedures of
Appendix 3 to Title 18, U.S.C., the Department of Justice may elect to conduct the necessary
national security investigation and issue the required security clearance, in coordination with the
affected DoD Component.
h. Attorneys representing contractor personnel who require access to DoD classified
information to properly represent their clients will normally be investigated and cleared in
accordance with Title 18, U.S.C.
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SECTION 5: INVESTIGATIVE REQUESTS 25
SECTION 5: INVESTIGATIVE REQUESTS
5.1. GENERAL.
a. Only the authorities designated in this section will submit investigative requests. These
authorities will be held responsible for determining if personnel under their jurisdiction require a
PSI.
b. Before requesting a new investigation, DoD Components must determine whether
reciprocity applies, as outlined in Appendix 5A.
c. The sponsoring DoD activity is responsible for funding all PSIs except for contractor
personnel.
d. Investigative requests for contractor personnel under the NISP are processed in
accordance with DoD 5220.22-M.
5.2. AUTHORIZED REQUESTORS. Requests for PSIs will be accepted only from
designated officials with an approved submitting office number (SON) within the:
a. Military Departments.
b. Office of the Chairman of the Joint Chiefs of Staff and the Combatant Commands.
c. DoD CAF.
d. Defense Agencies and DoD Field Activities.
e. OSD.
f. Other requestors approved by the DDI(I&S).
5.3. LIMITATIONS AND RESTRICTIONS FOR SUBMITTING INVESTIGATIONS.
a. Authorized Personnel Security Investigative Agencies. E.O. 13467 established the
DNI as the Security Executive Agent (SecEA) and the final authority to designate agencies to
conduct investigations of persons who are proposed for national security eligibility. Only DoD
Components delegated investigative authority by the DNI through USD(I&S) may enter into
contracts to conduct PSIs. DoD Components without investigative authority are prohibited from
entering into contracts to conduct PSIs.
b. Limits on Investigations. Personnel who are employed by or serving in a military,
civilian, contractor, or consultant capacity may be considered for national security eligibility
only when such eligibility is required for a lawful and authorized government purpose in
connection with official duties. The number of persons requiring investigations and national
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security eligibility will be limited to those that are essential to current operations and clearly
authorized by DoD policy.
(1) Unauthorized, unnecessary, or duplicative PSIs are prohibited. An investigation will
not be requested when there is no requirement.
(2) DSS will not process a PSI request for an employee of, or a consultant to, a
contractor when there is not a legitimate requirement for access to classified information in
supporting a U.S. Government or foreign government requirement in accordance with Volume 2
of DoDM 5220.22 and Volume 3 of DoDM 5200.22.
(3) Spouses of GO/FOs will not be processed for eligibility for access to classified
information unless there is need for them to access classified information as part of a unit support
or readiness function.
(4) With the exception of military personnel, minors who are under the age of 18 will not
be investigated nor granted national security eligibility.
5.4. PROCESSING INVESTIGATIVE FORMS.
a. An investigative request must be submitted early enough to allow sufficient time to
complete the investigation, adjudicate the findings, and make the eligibility determination. To
conserve investigative resources and ensure investigations are efficient, complete, and thorough,
organizations requesting investigations will:
(1) Ensure request forms, prescribed documentation and fingerprints are properly
executed and submitted electronically in accordance with ISP instructions. The electronic
submission of fingerprints eliminates the need to request advance fingerprint results.
(2) Only request Advance National Agency Check Status Reports when a subject
requires Interim TS.
(3) Submit investigative requests for contractor personnel under the NISP through JPAS
to the DSS Personnel Security Management Office for Industry to determine validity of the
request and process for interim eligibility, as appropriate, and release to OPM.
(4) Promptly notify the ISP if the investigation is no longer needed.
b. To be more efficient, before submitting PSI requests, DoD Components should:
(1) Ensure the investigative requirements, as specified in Section 4 of this manual, are
accurately recorded in appropriate systems. This data will be used for programming and to
validate electronic PSI requests.
(2) For individuals who are born outside the United States, enter extra coverage codes on
the investigative request forms to require OPM to validate citizenship in accordance with
national standards. DoD Components should also review citizenship documents of individuals
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born abroad before submitting initial PSI requests. All documents verifying U.S. citizenship will
be original or certified copies. A copy of the document(s) used to verify citizenship will be
uploaded to the subject’s electronic Questionnaire for Investigations Processing (e-QIP) before
submission to the ISP.
(a) Acceptable Documentation for U.S. Citizenship by Birth. Subjects asserting U.S.
citizenship by birth will provide:
1. A birth certificate certified with the registrar’s signature that bears the raised,
impressed, or multicolored seal of the registrar’s office.
2. A Department of State (DOS) Form FS-240, “Consular Report of Birth Abroad
of a Citizen of the United States of America.”
3. A DOS Form FS-545 or DS-1350, “Certification of Birth.”
4. A valid U.S. passport, unaltered, originally issued to the subject.
(b) Acceptable Documentation for U.S. Citizenship by Certification or
Naturalization. Subjects asserting citizenship by certification or naturalization will provide:
1. A U.S. Citizenship and Immigration Services (USCIS) Form N-560 or N-561,
“Certificate of U.S. Citizenship.”
2. A USCIS Form 550, “Certificate of Naturalization” or 570, “Replacement
Certificate of Naturalization.” Copies can be made of naturalization papers for submission in
accordance with Section 1426 of Title 18, U.S.C.
3. A valid U.S. passport or passport card, unaltered, originally issued to the
subject.
(c) Acceptable Documentation for Corroboration of Legal Status. These documents
or any successors to these forms can be used to corroborate a person’s legal status:
1. A valid USCIS Form I-551, “Permanent Resident Card or Resident Alien
Card.”
2. A U.S. Customs and Border Protection Form I-94, “Arrival/Departure
Record,” with an acceptable visa that authorizes employment in the United States.
3. A valid USCIS Form I-766, “Employment Authorization Document.”
4. A valid U.S. Travel Document issued as a Permit to Re-enter (USCIS Form I-
327) or as a Refugee Travel Document (USCIS Form I-571).
c. Investigative requests will be submitted to the ISP through electronic application. The
methods for submitting investigative requests to OPM are detailed in the U.S. Office of
Personnel Management Booklet. The trained official submitting the request will:
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(1) Use the DoD electronic system of record for investigation and adjudication status to
verify whether an individual has an open case or an existing investigation that meets the
eligibility requirement before submitting a new request (do not submit duplicate investigation
requests).
(2) Provide the subject with instructions for completing the e-application and assist the
subject as necessary.
(3) Document efforts to validate and verify the required information, where appropriate,
and maintain documentation in accordance with applicable record retention requirements.
(4) Ensure that all documents are completed in accordance with the instructions of the
ISP.
(5) Use the assigned SON and security office indicator (SOI).
(a) The head of the submitting office may authorize individuals to use the SON to
obtain information on the case status of a background investigation from the ISP, if the caller can
answer the questions asked by the ISP’s telephone liaison.
(b) The SOI is used to identify the appropriate official who will receive case results,
data, or other information from OPM. Security offices designate security office employees who
may contact the ISP to obtain detailed information about a case. Approved employees are the
only individuals who may receive information by telephone or secure e-mail. Requests for SOIs
for national security investigations must be approved by the DDI(I&S).
d. Provide relevant data concerning the subject of the investigation to the ISP. The subject
of each PSI will provide the personal information required by the ISP and DoD 5400.11-R. At a
minimum, the subject will:
(1) Provide accurate and complete data as part of the investigation.
(2) Complete the appropriate investigative forms through e-application and electronic
fingerprint capture devices.
(3) Execute signed releases, as necessary, authorizing custodians of police, credit,
education, employment, and medical and similar records to provide relevant record information
to the ISP.
(4) Unfreeze any credit or consumer freezes to allow an investigation of credit history.
A credit history is a required component of all national security background investigations. If a
“freeze” or other administrative hold is placed on the subject’s consumer or credit report file, the
ISP will not be able to obtain a copy of the report, which can adversely affect eligibility for a
national security position.
(a) Anyone with a credit freeze in place should contact the applicable bureau(s) and
request the freeze be lifted for a period of 40 days to allow for their background investigation.
Make the request when the investigative application is submitted.
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(b) The subject will bear any costs associated with lifting the freeze.
e. Strict adherence to the following procedures will significantly reduce rejected
investigation requests and facilitate the processing and scheduling of those requests by the ISP:
(1) Match personally identifying data on the electronic fingerprint, releases, certification
page, and the e-application exactly.
(2) Ensure the subject of the investigation signs and dates each document submitted to
the ISP.
(3) Ensure the subject of the investigation recertifies the e-application for changes made
on any of the documents listed in Paragraph 5.4.e.(1) that are submitted to the ISP for processing.
f. When an individual cannot make corrections due to deployment, illness, or other similar
circumstance, the Federal Investigations Processing Center Form 391, “Certificate of Amended
Investigation,” (or other approved form) may be used. Federal Investigations Processing Center
Form 391 is not for administrative corrections. It is used when substantive changes are made to
an individual’s e-QIP, and must be signed and certified by the DoD employee making the
changes on the individual’s behalf.
5.5. TEMPORARY (OR INTERIM) NATIONAL SECURITY ELIGIBILITY. Unless
otherwise prohibited by policy, an individual may be granted temporary national security
eligibility pending investigation and a final determination when official functions must be
performed before completion of the investigation and adjudication process. See Section 4 for
additional information on temporary or interim national security eligibility.
5.6. ONE-TIME OR SHORT DURATION ACCESS. Circumstances may arise where an
urgent operational or contractual need exists for cleared DoD personnel to have one-time or short
duration access to classified information at a higher level than is currently authorized. In many
instances, the processing time required to upgrade the national security eligibility would prevent
timely access to the information. Section 5 of this manual details the procedures for one-time or
short duration access.
5.7. ACCOUNTABILITY OF PERSONNEL SECURITY REPORTS AND RECORDS.
a. Personnel security data, reports, records, and investigative results must be handled with
the highest degree of discretion. Access to such information is afforded only for the purposes in
the applicable Privacy Act System of Record Notice (SORN) and to persons whose official
duties require such information. PSI results may be used only to determine national security
eligibility requiring such investigation and for quality assurance, law enforcement investigations,
authorized CI inquiries and investigations, and other official uses stated in the applicable SORN
or as authorized by DoD 5400.11-R .
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b. Internal controls will be established to ensure personnel security data, reports, records,
and investigative results are adequately safeguarded and access is limited to official duties by
authorized personnel.
(1) Personnel Submitting the E-application. The submitter will maintain a file for each
subject who has successfully begun an investigation. Any information verified by the submitter
will be maintained in the file until final eligibility is determined.
(2) Adjudication Facilities and DoD Components. Adjudication facilities and the DoD
Components will control and maintain accountability of all reports of investigations received, to
include supporting documentation.
(a) Unclassified PSI information that is privacy information is treated as For Official
Use Only information and handled in accordance with DoD 5400.11-R, DoDM 5400.07, and
DoDI 5200.48. Classified PSI information will be protected in accordance with Volume 3 of
DoDM 5200.01.
(b) In addition to the requirements cited in Paragraph 5.7.b.(2)(a), when an original
classification authority classifies PSI information, it will be handled in accordance with the
respective classification guide.
(c) Access to national security eligibility determination information will be made
available only to officials of the DoD and the Federal Government with an official need for such
information. Personnel who review and access completed investigation files to render national
security eligibility determinations require a favorably adjudicated SSBI.
(d) Reproduction, in whole or in part, of PSI security investigative reports is
restricted to the minimum number of copies required for the performance of assigned duties.
(e) Unclassified PSI information is stored in a vault, safe, or steel file cabinet with a
built-in lock or an approved three-position dial-type combination padlock or in data bases which
are access controlled. When needed for official duties by personnel authorized access, and
where supplemental controls are in place, personnel security data, reports, records, and
investigative results may be stored in key or cipher-locked rooms or cabinets to which only
authorized employees have access.
5.8. SUBJECT REQUEST FOR PSI REPORT. The subject of investigation will be given
access to PSI reports in accordance with E.O. 12968, DoD 5400.11-R and DoDM 5200.01, as
applicable.
5.9. RECORDS DISPOSITION.
a. Any personnel security investigative report provided by the ISP may be retained by the
DoD Component only for the period identified in its Privacy Act SORN.
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b. Destruction will be in accordance with DoD records management policy and the
Component’s approved records management schedule. Destruction will be accomplished in
accordance with DoDM 5200.01 or, if classified, in accordance with the December 12, 2005
Office of Management and Budget Memorandum.
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APPENDIX 5A: RECIPROCITY 32
APPENDIX 5A: RECIPROCITY
5A.1. GENERAL.
a. Gaining DoD Components may use this appendix to determine whether an individual has
a current national security eligibility, including access to highly sensitive information (i.e., SCI,
SAP, or “Q”), based upon the requisite investigation (i.e., ANACI, NACLC, SSBI, or SSBI-PR).
b. E.O. 13467 establishes the DNI as the SecEA responsible for ensuring reciprocal
recognition of national security eligibility among the agencies, including acting as the final
authority to arbitrate and resolve disputes involving the reciprocity of investigations and
determinations of national security eligibility.
c. DoD reciprocally accepts existing national security eligibility determinations or clearances
from other government agencies in accordance with E.O. 13467 , Part 731 of Title 5, U.S.C., and
the December 12, 2005, July 17, 2006, and November 14, 2007 Office of Management and
Budget Memorandums.
d. Background investigations and national security eligibility determinations made by
designated DoD authorities will be mutually and reciprocally accepted by all DoD Components.
e. Further investigation is prohibited when a determination already exists that is based upon
a current investigation of a scope that meets or exceeds that necessary for the eligibility required.
See Paragraph 5A.3 for reciprocity exceptions.
f. Reciprocal use of an investigation is based on:
(1) SCI eligibility in accordance with Intelligence Community Directive 704 and
Intelligence Community Policy Guidance Numbers 704.1, 704.2, 704.3, 704.4, and 704.5.
(2) Collateral TS and below, or any SAP eligibility-up to 5 years from the close date of
the completed PSI.
g. National security and SCI eligibility suspensions, denials, and revocations within DoD
will be mutually and reciprocally recognized, provided the opportunity for administrative due
process offered by the issuing organization and the gaining organization are the same. This will
apply for at least the 12-month period following the date of final denial or revocation of access
during which time the individual is ineligible for reconsideration. See Section 6 for
reconsideration procedures.
h. Whenever a civilian or Service member transfers from one DoD activity to another, the
losing organization’s security office will advise the gaining organization of any action to
suspend, deny, or revoke the individual’s eligibility, as well as any issue information that may
exist in security, personnel, or other files. In such instances, the eligibility will not be reissued
until the potentially disqualifying information has been adjudicated.
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APPENDIX 5A: RECIPROCITY 33
i. When a valid DoD national security eligibility is on record, DoD Components will not
request before investigative files for review. See Paragraph 5A.3 for reciprocity exceptions.
j. The gaining activity will not require an individual to complete an SF 86 if a valid DoD
national security eligibility or access eligibility is on record. However, a completed SF 86C,
“Certification,” may be requested to determine whether new substantive information of security
concern has occurred since the last adjudication. Following review, the SF 86C will be
forwarded to the appropriate adjudication facility and added to the individual’s adjudicative
record.
k. Reciprocal recognition by an activity may be withdrawn on a case-by-case basis if such
action is necessary for national security purposes.
5A.2. VERIFY ELIGIBILITY.
a. DoD Components that grant access or issue national security eligibility to civilian,
military, or contractor employees are responsible for determining whether such employees have
been previously cleared or investigated by the Federal Government. In most circumstances, this
can be accomplished by checking OPM’s Central Verification System, the DoD adjudication
system of record (JPAS or the IC’s Scattered Castles database).
b. Receiving activity security personnel may communicate directly with originating activity
security POCs to verify that national security eligibilities in question were granted.
c. If online access to the appropriate database is unavailable, or if the record is otherwise
incomplete, fax an “Inter-Agency Clearance Verification Request” to the appropriate agency.
The request form and appropriate fax numbers can be found at the secure OPM web portal at
https://opmis.xsp.org/index.cfm. The OPM Federal Investigative Services Division has created
and posted a list of contact information to the “public library” section of its secure portal for all
agencies which grant eligibility. Senior security personnel in the DoD Components will
designate security personnel who will require access to the OPM web portal.
5A.3. EXCEPTIONS TO RECIPROCITY. The gaining activity or program may request that
an individual who has current national security eligibility with another federal agency complete a
new security questionnaire, may review existing security questionnaires or background
investigations, or may initiate any new investigative checks when:
a. The determination of eligibility for access is based on an exception (e.g., condition,
deviation, or waiver) or is granted on an interim or temporary basis.
b. The investigation upon which the existing national security eligibility was granted is not
current.
c. The gaining activity is aware or in possession of substantial information indicating the
standards in the August 30, 2006 USD(I) Memorandum may not be satisfied.
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APPENDIX 5A: RECIPROCITY 34
d. The individual is being considered for access to highly sensitive information (i.e., SCI,
SAP, or “Q”) and:
(1) The existing national security eligibility determination is based upon a waiver or
deviation, or access is otherwise subject to conditions, or
(2) The individual does not satisfy a polygraph requirement imposed by the gaining
program, as approved by the DoD Component head or head of an IC element. Under such
circumstances, only additional, not duplicative, investigative or adjudicative procedures will be
completed, or
(3) The individual does not satisfy an official requirement imposed by the gaining
program that prohibits any non-U.S. immediate family or non-U.S. cohabitants. Under such
circumstances, only additional, not duplicative, investigative or adjudicative procedures will be
completed.
e. There is a break in employment or a break in access greater than 24 months.
5A.4. ANNOTATING RECIPROCAL DETERMINATIONS.
a. To be consistent with reciprocity and to ensure equitable due process, the DoD
Components will ensure the timeliness of investigation submissions and adjudications of civilian
employees, military, and contractor personnel as required.
b. Once a gaining DoD adjudicative authority confirms or is assured that a previous
investigation meets the provisions of this section and accepts the losing organization’s
determination, the reciprocally accepted determination will be entered into the DoD adjudication
system of record.
c. If eligibility determinations are based on an exception (condition, deviation, or waiver),
mitigating conditions must be annotated in the DoD adjudication system of record.
d. DoD Components will provide eligibility and access determination information to other
agencies of the Federal Government to which an individual is assigned or detailed, upon request.
5A.5. ADDITIONAL RECIPROCITY GUIDANCE FOR SCI ACCESS. When a
determination of eligibility for access is based on an exception (i.e., condition, deviation, or
waiver) that information will be conveyed to the gaining head of an IC element. The gaining
head of an IC element may reject another head of an IC element access determination based upon
his or her assessment of risk.
5A.6. RECIPROCITY FOR THE NUCLEAR REGULATORY COMMISSION AND THE
DOE. DoD policy on reciprocal acceptance of security eligibility with the Nuclear Regulatory
Commission and the DOE is established in Table 1 of DoDI 5210.02.
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SECTION 6: LAA FOR NON-U.S. CITIZENS 35
SECTION 6: LAA FOR NON-U.S. CITIZENS
6.1. GENERAL. Only U.S. citizens are eligible for access to classified information. However,
compelling reasons may exist for granting access to classified information to a non-U.S. citizen.
An LAA enables a non-U.S. citizen to have limited access to classified information, but the LAA
is not a national security eligibility.
a. An LAA may be granted, in rare circumstances, when:
(1) A cleared or clearable U.S. citizen is not readily available or does not possess the
skills or expertise required.
(2) The non-U.S. citizen possesses unique skills or expertise needed to support a specific
U.S. Government requirement involving access to classified information.
b. Access to classified information provided to the U.S. Government by another government
or international organization will not be permitted under an LAA without written consent of the
government of the organization that provided the information.
c. All LAAs will be reviewed annually to determine if continued access is in compliance
with DoD policy. The DoD Components will maintain a record of all LAAs in effect and submit
an annual report to the Office of the DDI(I&S) by January 15 for the preceding year providing a
summary by access level (Secret or Confidential), country(ies) of citizenship, and employment
location.
6.2. CONDITIONS FOR LAA.
a. An export license or disclosure authorization is required to release classified information
to a non-U.S. citizen who has been issued an LAA. Before submitting an application for an
LAA, the requestors must obtain a written disclosure determination from a principal or
designated disclosure official or obtain a DOS approved export license. This documentation
must be submitted with the application for an LAA. The LAA cannot serve as an export
authorization. An approved LAA is a determination that the non-U.S. citizen is eligible to
receive the classified information governed by the disclosure authorization or DOS approved
export license.
b. Personnel granted LAAs are not permitted uncontrolled access to areas where classified
information is stored or discussed. Classified information will be maintained in a location under
the continuous control and supervision of an appropriately cleared U.S. citizen.
c. Non-U.S. citizens will not be eligible for access to any greater level of classified
information than the U.S. Government has determined may be released to the country of which
the person is a citizen, but not to exceed the Secret level.
d. Personnel granted LAAs will not be designated as a courier or escort for classified
material unless they are accompanied by an appropriately cleared U.S. citizen.
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SECTION 6: LAA FOR NON-U.S. CITIZENS 36
6.3. INVESTIGATIVE REQUIREMENTS.
a. A non-U.S. citizen, including immigrant alien, may be issued an LAA if:
(1) The individual is a citizen of a country with which the United States has an
agreement providing for security assurances.
(2) The investigative requirements for the LAA are commensurate with the investigative
requirements of that country.
b. A favorably completed and adjudicated SSBI (within the immediately preceding 5 years)
is required before granting an LAA. If the SSBI cannot provide full investigative coverage, a
polygraph examination (if there are no applicable host country prohibitions) to resolve the
remaining personnel security issues will be favorably completed in accordance with DoDD
5210.48 before granting access.
c. If geographical, political, or medical situations prevent the full completion of the SSBI or
prevent the polygraph examination to supplement a less than full SSBI, an LAA may be granted
only with approval of the DDI(I&S).
d. If an LAA is withdrawn and the person subsequently is again considered for a new LAA,
an SSBI and polygraph examination may be required. The scope of the SSBI will cover the
period since the previous investigation or 10 years, whichever is shorter.
e. A PR will be conducted on every person with an LAA 5 years from the closing date of the
previous SSBI or SSBI-PR, as appropriate.
6.4. AUTHORIZED ACCESS LEVELS.
a. LAAs may be granted only at the Secret and Confidential levels. Limited access to Secret
and Confidential information may be granted following completion of the SSBI by an authority
as specified in Section 4 of this manual, and compliance with the requirements in this section.
b. The classified information to which the non-U.S. citizen may have access will be
approved for release to the person’s country (or countries) of citizenship, in accordance with
DoDD 5230.11. Exceptions may apply in operational exigencies. In such cases, the DoD
Component head may approve the release of information to individuals granted an LAA when it
is determined to be in the best interests of national security.
c. Access to classified information will be limited to a specific program or project. The
LAA will be cancelled upon completion of the program or project for which it was approved.
d. Foreign nationals of a NATO member nation may be authorized access to NATO
information provided:
(1) A NATO Security Clearance Certificate is obtained by the CSA from the individual’s
home country.
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SECTION 6: LAA FOR NON-U.S. CITIZENS 37
(2) NATO access is limited to performance on a specific NATO program or project.
e. Access to classified information outside the scope of the approved LAA will be
considered a compromise of classified information and investigated in accordance with the
November 15, 2007 Office of Management and Budget Memorandum.
f. Access by foreign nationals to DoD information systems containing classified information
will comply with conditions prescribed in DoDI 8500.01.
6.5. UNAUTHORIZED ACCESS LEVELS. An LAA granted under the provisions of this
manual is not valid for access to:
a. TS information.
b. Restricted data (RD) or formerly restricted data.
c. Information that has not been determined releasable by a U.S. Government designated
disclosure authority to the country(ies) of which the individual is a citizen.
d. Communications security (COMSEC) information.
e. Intelligence information.
f. Information for which foreign disclosure has been prohibited in whole or in part.
g. Information provided to the U.S. Government in confidence by a third party government
and classified information furnished by a third party government.
6.6. REQUEST PROCEDURES.
a. Personnel being processed for an LAA will complete an SF 86.
b. In those instances where a non-U.S. citizen does not have an social security number,
follow the procedures specified by the ISP when completing the SF 86.
c. All requests for initial LAAs will contain a detailed justification and plan describing:
(1) The location of the classified material (security containers) in relationship to the
location of the foreign national.
(2) The compelling reason for not employing a cleared or clearable U.S. citizen.
(3) A synopsis of an annual continuing assessment program to evaluate the individual’s
continued trustworthiness and eligibility for access.
(4) A plan to control access to secure areas and to classified and controlled unclassified
information.
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d. All LAA determinations, favorable and unfavorable, will be entered into the DoD
adjudication system of record.
e. Unfavorable LAA determinations for industrial contractor personnel are processed
pursuant to DoDD 5220.6.
6.7. LAA DETERMINATION AUTHORITY.
a. LAA determinations will be made by a designated single authorizing adjudicative official
listed in Section 4 of this manual. LAA determination authority will not be further delegated to
any other official at the major command level or equivalent. An LAA requested by a contractor
under the NISP will be endorsed by the program executive officer or equivalent official
responsible for the contract under which the request has been submitted in accordance with DoD
5220.22-M. An LAA will not be issued in the absence of such an endorsement.
b. The Combatant Commander responsible for implementation of the PSP is authorized to
issue, deny, or revoke an LAA. LAA determinations by the Combatant Commanders will be
reported to the DoD CAF in accordance with the assigned responsibilities in DoDD 3700.01 for
inclusion in the DoD system of record.
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SECTION 7: NATIONAL SECURITY ADJUDICATIONS 39
SECTION 7: NATIONAL SECURITY ADJUDICATIONS
7.1. GENERAL.
a. The principal objective of the DoD personnel security adjudicative function is to ensure
individuals who are granted national security eligibility are reliable, loyal, and trustworthy. It
involves an assessment of a sufficient portion of their life history to determine whether they have
acted or are acting in ways inconsistent with the adjudicative guidelines. Cases are evaluated
using uniform national standards to ensure fair and consistent assessments. Adjudications are
performed to determine an individual’s eligibility for access to classified information or to hold a
sensitive position.
(1) National security eligibility determinations are a function distinct from granting
access to classified national security information. This section provides procedures relating to
determining national security eligibility. Section 5 of this manual provides procedures for access
determinations.
(2) National security eligibility determinations are made on the merits of the individual
case and involve examining a sufficient period of a person’s life and background to make an
affirmative determination the person is an acceptable national security risk (i.e. where the facts
and circumstances indicate granting eligibility is clearly consistent with the national security
interests of the United States). Favorable access determinations are made on the basis of the
eligible individual’s need for access to classified information to perform official duties.
b. All reliable information relevant to determining whether a person meets the national
security eligibility standards is reviewed and evaluated only by appropriately trained adjudicative
personnel, in accordance with appropriate procedures approved by the SecEA. Final
adjudication determinations will be made by certified adjudicators, non-certified adjudicators
operating under an approved risk management plan, or in accordance with approved automated
procedures.
7.2. ADJUDICATION AUTHORITIES.
a. Only the determination authorities listed in Appendix 7A are authorized to make national
security eligibility determinations based upon a review of the PSI or adverse information referral.
b. Re-adjudication by any DoD Component of national security eligibility determinations for
individuals who have been determined to be eligible by the DoD CAF, by another DoD
Component, or by another federal agency is prohibited except in accordance with Appendix 5A.
c. SCI access eligibility determinations follow Volume 2 of DoDM 5220.22 and associated
DNI guidance and delegations.
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SECTION 7: NATIONAL SECURITY ADJUDICATIONS 40
7.3. PROHIBITION ON RETALIATION BY AFFECTING ELIGIBILITY FOR ACCESS
TO CLASSIFIED INFORMATION.
a. It is strictly prohibited to take, fail to take, or threaten to take or fail to take any action
affecting an individual’s eligibility for access to classified information as a reprisal for a
protected disclosure of fraud, waste, or abuse pursuant to Presidential Policy Directive/PPD 19.
b. Employees may appeal actions affecting eligibility for access to classified information
allegedly taken as a reprisal for a protected disclosure of fraud, waste, or abuse in violation of
Presidential Policy Directive/PPD 19.
c. All personnel security adjudicators, DOHA administrative judges (AJs), and Personnel
Security Appeals Boards (PSABs) will, as part of their adjudication of an individual’s eligibility,
consider and resolve any claims of reprisal for whistleblowing.
d. Nothing in this manual limits or affects the independence of the Inspector General of the
Department of Defense or the DoD Component statutory Inspector Generals in fulfilling their
duties to determine whether an action affecting eligibility for access to classified information
constituted a prohibited reprisal and to recommend appropriate corrective action to the DoD
Component head.
7.4. ADJUDICATIVE GUIDELINES. The adjudicative guidelines will be used to determine
an individual’s national security eligibility. These guidelines are national level guidelines
developed and distributed by the December 29, 2005 White House Memorandum, Intelligence
Community Policy Guidance 704.2, or their successor documents, as appropriate.
7.5. ELECTRONIC ADJUDICATION (E-ADJUDICATION).
a. Use of automated adjudication procedures for e-adjudication is restricted to authorized
adjudication facilities.
b. All determinations made by authorized adjudication facilities using approved e-
adjudication business rules are valid and will be recorded in JPAS and accepted on a reciprocal
basis.
7.6. ADJUDICATION OF NATIONAL SECURITY CASES.
a. PSIs may be adjudicated by e-adjudication using DNI-approved business rules, by
certified adjudicators who have successfully completed the standards for experience, training,
and certification to perform final adjudicative determinations, or by non-certified adjudicators
operating under an approved risk management plan in accordance with the January 28, 2014
USD(I) Memorandum, DoDI 3305.13, and DoD 3305.13-M.
b. All military positions are national security positions regardless whether or not the Service
member requires access to classified information, as established in DoDI 5200.02.
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SECTION 7: NATIONAL SECURITY ADJUDICATIONS 41
(1) All military members will undergo PRs, maintain a favorable adjudication, and be
subject to continuous evaluation.
(2) All military members will undergo the NACLC or successor Tier 3 investigation at a
minimum. The DoD CAF will adjudicate all military investigations and reinvestigations using
the national security adjudicative guidelines.
(a) Military members who are denied or revoked a favorable national security
eligibility determination will be afforded due process. Those individuals will be immediately
referred to the servicing Military Department for appropriate action.
(b) Military members who are determined to be ineligible for access to classified
material solely because of citizenship will be entered into JPAS as not eligible for access to
classified material.
7.7. DOD CASE MANAGEMENT AND ADJUDICATION TRACKING SYSTEMS. The
Case Adjudication Tracking System (CATS), National Security Agency/Central Security
Service’s Clearance Workflow and Verification System as authorized by the April 10, 2009
USD(I) Memorandum or the Defense Intelligence Agency (DIA) Total Integrated Team Analysis
Network are DoD information technology systems capable of receiving national security
investigations, managing workflow, and performing electronic adjudications.
7.8. DOCUMENTING ADJUDICATIONS.
a. Adjudicative determinations, whether favorable or unfavorable, interim or final, will be
entered into JPAS on the same day the determination is made.
b. When derogatory information is not obviously and clearly mitigated by a mitigating
condition, the disqualifying and mitigating condition(s) from the applicable adjudicative
guideline and the rationale for each decision will be recorded in JPAS.
c. Applicable adjudication rationales will be documented in accordance with the August 31,
2010 USD(I) Memorandum.
d. All records will indicate whether an exception (condition, deviation, or waiver), as
defined in Intelligence Community Directive Number 704, or a Bond Amendment waiver as
detailed in Appendix 7B.3.e. was used to make an eligibility determination.
7.9. PERSONNEL PERFORMING ADJUDICATIVE FUNCTIONS. Adjudicative
determinations are inherently governmental functions. However, the DoD CAF and DoD IC
central adjudication facilities may contract for adjudicative support services to ensure timely
accomplishment of mission objectives.
a. Inherently Governmental Functions. Government personnel who use contract support
remain responsible for ensuring the completeness and accuracy of the case file and for
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considering all material submitted therein in their adjudicative decision. Government personnel
will:
(1) Retain the authority and responsibility for making discretionary decisions, value
judgments inherent in adjudication, and all final adjudicative determinations.
(2) Conduct all adjudicative services and functions in cases involving LAA, and requests
for security assurance submitted by foreign governments for U.S. citizens requiring access to
foreign government information.
b. Contractor Personnel Support of Adjudications. Services that may be provided by
contractor personnel include administratively processing cases to ensure expeditious case
management, pre-screening cases for investigative compliance, and other support that is
ministerial in nature. Contract services cannot be so extensive as to exceed the capacity of
Component oversight or limit the opportunity for proper discretionary decisions and value
judgments by government adjudicative personnel.
(1) Contractor personnel providing adjudicative support must meet the same eligibility
and investigative requirements required of government personnel with comparable duties.
(2) Adjudication contractor support personnel will be subject to continuous review by
the appropriate DoD CAF or DoD IC central adjudication facility personnel (e.g., the Contract
Officer’s Representative) for contract compliance and will work only at adjudication facility-
approved locations.
7.10. SCI ADJUDICATION.
a. SCI adjudication policy and guidelines are contained in Intelligence Community Directive
704 and Intelligence Community Policy Guidance 704.2.
b. SCI adjudication and eligibility determinations will be made in accordance with
Intelligence Community Policy Guidance Numbers 704.1, 704.2, 704.3, and 704.4. SCI
eligibility determinations include TS eligibility and below.
c. SCI adjudications of PSIs by the DoD CAF or applicable IC adjudication facilities will be
limited to personnel affiliated with, assigned to, or under contract with the Component the
central adjudication facility supports or with whom special agreements exist to provide SCI
adjudication.
d. The applicable IC adjudication facility will notify the DoD CAF when they remove an
individual under the DoD CAF’s cognizance from SCI access.
e. When SCI access is removed from an individual for adverse reasons, the DoD CAF will
review the adverse information and make a separate collateral eligibility determination. If an
SCI access is removed for contractor personnel cleared through the NISP, the Director of DSS,
in coordination with the DoD CAF, will advise the contractor if loss of SCI access also warrants
withdrawal of collateral eligibility.
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7.11. SAP ADJUDICATION.
a. SAP nomination policy and guidelines are contained in the May 20, 2013 USD(I)
Memorandum.
b. SAP adjudication and continued eligibility determinations will be made in accordance
with DoDD 5205.07 and the August 9, 2011 USD(I) Memorandum.
c. The applicable SAP Central Office will notify the DoD CAF when adverse reasons
warrant the removal of an individual from SAP access.
d. When SAP access is removed from an individual for adverse reasons, the servicing
adjudication facility will review the adverse information and determine whether SCI access or
collateral eligibility should be withdrawn. If SAP access is removed for contractor personnel
cleared through the NISP, the Director, DSS, in coordination with the DoD CAF, will advise the
contractor when to remove SCI access or collateral access.
7.12. POLYGRAPH AND CREDIBILITY ASSESSMENT PROCEDURES.
a. The use of polygraph and other approved credibility assessment tools is governed by
DoDI 5210.91.
b. Except as authorized by DoDI 5210.91, no unfavorable national security eligibility
determination will be taken based solely on a polygraph examination that is interpreted as
indicating deception or is inconclusive. Refusal to take a voluntary polygraph will be given no
consideration, favorable or unfavorable, when making a national security eligibility
determination.
c. Admissions made during the polygraph interview or attempts to employ countermeasures
to defeat a polygraph may be considered when making a national security eligibility
determination.
7.13. ADJUDICATION TIMELINES. DoD adjudications will be completed in accordance
with standards established by the SecEA and as required by Title 50, U.S.C.
7.14. DURATION OF SECURITY ELIGIBILITY AND ACCESS DETERMINATIONS.
The validity of national security eligibility and access determinations is not limited to a specific
duration in years, except as prescribed in this section.
a. Security clearance eligibility and access do not expire simply because of an overdue PR as
long as the individual submitted required paperwork or operational factors (such as deployment)
or DoD Component decisions (such as funding constraints) delay submission. When the
circumstances precluding on time submission are gone, DoD Components must submit PRs as
soon as practicable.
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b. Individuals who received a favorable adjudication of an investigation within the previous
5 years from the date the investigation closed and who have been retired or otherwise separated
from U.S. Government employment for no more than 24 months will be granted eligibility as
long as:
(1) There is no indication the individual no longer satisfies the standards established for
access to classified information.
(2) The individual certifies in writing on an SF 86C to the security professional there has
been no change in the relevant information provided for the last background investigation. The
SF 86C will be forwarded to the DoD CAF and added to the individual’s adjudicative record.
(3) An appropriate record check reveals no unfavorable information.
c. Commands may determine the submission of a new background investigation is merited
when the SF 86C reveals derogatory information.
d. In all instances, if the most recent previous determination issued to the individual was a
revocation, denial, or suspension, re-adjudication will be required.
7.15. DETERMINING ELIGIBILITY WITH CONDITIONS.
a. The presence of derogatory information or information that raises a security concern does
not necessarily mean adjudicators will not grant or continue an individual’s national security
eligibility.
b. Adjudicators may issue favorable determinations or continue an individual’s eligibility
with conditions. An individual’s failure to comply with the condition(s) or warning(s) may
result in revocation of national security eligibility.
c. The local security professional will monitor individuals granted eligibility based on
conditions and report the results to the supporting central adjudication facility semi-annually
until the conditions are removed.
d. Adjudicators must document eligibility determinations issued with conditions in JPAS
and revisit the determination annually until the conditions are removed.
7.16. INTERIM ELIGIBILITY.
a. Individuals may be granted temporary eligibility where official functions must be
performed before completion of the national security investigation and adjudication process.
Within the DoD temporary eligibility is referred to as “interim eligibility” or “interim.”
(1) The authorities listed in Appendix 7A to this section may grant interim eligibility to
personnel under their administrative jurisdiction pending a final national security eligibility
determination by the adjudication facility. Only government personnel may make interim
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determinations. Justification for interim eligibility will be recorded in JPAS and the employee
must be notified in writing by their employing activity that further access is expressly
conditioned upon the completion of the national security investigation and granting of national
security eligibility in accordance with national security adjudicative guidelines in the August 30,
2006 USD(I) Memorandum.
(2) Interim eligibility will be valid for up to 1 year. A 6 month extension may be made
by the designated Component authority if:
(a) The national security investigation has not been completed due to deployment.
(b) The eligibility determination is pending at the central adjudication facility.
(3) The DoD Component will notify the adjudication facility of the extension via JPAS
entry.
(4) The DoD Components will monitor all interims more than 1 year old to ensure:
(a) The national security investigation is ongoing.
(b) The individual still requires access.
(5) The adjudication facility will update JPAS to reflect the withdrawal of interim
eligibility after 1 year or after the expiration of an approved 6-month extension.
b. Minimum requirements for interim Confidential or Secret eligibility are:
(1) Acceptable proof of citizenship.
(2) Favorable review of a completed SF 86.
(3) Favorable review of local personnel, base, military police, medical, and security
records, as applicable.
(4) An appropriate national security investigation opened by the ISP.
(5) Favorable review of FBI Criminal History Report (fingerprint results).
c. Minimum requirements for interim TS eligibility are:
(1) Favorable completion of all requirements cited for interim Secret or Confidential
eligibility.
(2) Favorable completion of a National Agency Check.
d. The authorities listed in Appendix 5A to this section may withdraw an interim eligibility
at any time if and when they determine that the granted interim poses an unacceptable risk.
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e. An interim Secret or Confidential is valid for access to the level of eligibility granted.
Access to RD, COMSEC information, and NATO information is not authorized.
f. An interim TS is valid for access to TS information, and RD, COMSEC, and NATO
information at the Secret and Confidential level.
g. Interim access to SCI information is determined by the access granting authority.
h. Interim eligibility for contractor personnel under the NISP is governed by DoD 5220.22-
M.
i. The DNI provides guidance for temporary eligibility for SCI in Intelligence Community
Directive Number 704.
j. Interim eligibility determinations and access are prohibited for National Security
Agency/Central Security Service assignment, detail, or employment in accordance with DoDI
5210.45.
k. Eligibility determinations for SAP access are governed by DoDD 5205.07, DoDI 5210.91,
and the August 9, 2011 USD(I) Memorandum.
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APPENDIX 7A: DETERMINATION AUTHORITIES 47
APPENDIX 7A: DETERMINATION AUTHORITIES
7A.1. OFFICIALS AUTHORIZED TO GRANT, DENY, REVOKE, OR SUSPEND
NATIONAL SECURITY ELIGIBILITY. Inherent in this authority is the ability to make
interim access determinations.
a. Secretary of Defense.
b. CMO.
c. Director, DIA.
d. Director, National Geospatial-Intelligence Agency (NGA).
e. Director, National Reconnaissance Office (NRO).
f. Director, National Security Agency/Chief, Central Security Service (DIRNSA/CHCSS).
g. GC DoD (for contractor personnel under the NISP) through DOHA.
h. Secretary of the Army.
i. Secretary of the Navy.
j. Secretary of the Air Force.
k. Chairman of the Joint Chiefs of Staff and Combatant Commanders.
l. This authority may be further delegated in writing to the extent necessary by the officials
listed in Paragraphs 7A.1.a through 7A.1.k.
m. Director, DSS is authorized to grant interim clearance eligibility for NISP contractor
personnel under DSS cognizance and to suspend eligibility. DSS is not authorized to deny or
revoke national security eligibility.
7A.2. OFFICIALS AUTHORIZED TO SUSPEND ACCESS TO CLASSIFIED
INFORMATION.
a. Commanders, DoD Component heads, or adjudicative authorities.
b. For SCI, cognizant heads of IC elements.
c. For SAP information, Special Access Program Central Office.
d. DSS for cleared NISP contractor personnel under DSS cognizance in accordance with the
standard in DoDD 5220.6.
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e. The authority to suspend access to classified information or occupy a national security
position may be further delegated in writing to appropriate subordinates by the officials listed in
Paragraph 7A.1.
7A.3. OFFICIALS AUTHORIZED TO GRANT, DENY, OR REVOKE LAA.
a. CMO or single designee.
b. Director, DIA or single designee.
c. Director, NGA or single designee.
d. DIRNSA/CHCSS or single designee.
e. Director, NRO or single designee.
f. Secretary of the Army or single designee.
g. Secretary of the Navy or single designee.
h. Secretary of the Air Force or single designee.
i. Chairman of the Joint Chiefs of Staff or single designee.
j. Combatant Commanders or single designee.
7A.4. FINAL DETERMINATIONS. A three-member PSAB panel will be formed to render
final determinations when an unfavorable national security determination is appealed. PSABs
may be established under:
a. Secretary of the Army.
b. Secretary of the Navy.
c. Secretary of the Air Force.
d. DIRNSA/CHCSS.
e. Director, DIA.
f. Director, NGA.
g. Director, NRO.
h. Director, WHS.
i. GC DoD
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APPENDIX 7B: SPECIAL CIRCUMSTANCES 49
APPENDIX 7B: SPECIAL CIRCUMSTANCES
7B.1. ADHERENCE TO FEDERAL LAWS.
a. This appendix addresses special circumstances that warrant inclusion to ensure
compliance with federal law in the execution of the DoD PSP. The PSP specifies that eligibility
for access to classified information or assignment to sensitive duties will be granted only to
individuals whose personal and professional history affirmatively indicates willingness and
ability to abide by regulations governing the use, handling, and protection of classified
information. Improper or illegal involvement with drugs raises questions regarding an
individual’s willingness or ability to protect classified information. Drug abuse or dependence
may impair social or occupational functioning, increasing the risk of an unauthorized disclosure
of classified information.
b. E.O. 12564 requires a drug-free federal workplace. The possession of illegal drugs is
unlawful under Chapter 13 of Title 21, U.S.C.
7B.2. ADHERENCE TO FEDERAL LAWS PROHIBITING MARIJUANA USE. In
accordance with the October 25, 2014 DNI memorandum, agencies are prohibited from granting
or renewing a security clearance to an unlawful user of a controlled substance, which includes
marijuana. Legislative changes by some States and the District of Columbia do not alter federal
law or existing national security guidelines.
7B.3. PROHIBITION FOR ALL SECURITY CLEARANCES (THE “BOND
AMENDMENT PROHIBITION”).
a. Pursuant to Section 3343 of Title 50, U.S.C. (also known and referred to in this manual as
the “Bond Amendment”), federal agencies are prohibited from granting or renewing a security
clearance for any individual who is an unlawful user of a controlled substance or is an addict;
this prohibition applies to all clearances.
b. For purposes of the Bond Amendment prohibition:
(1) An unlawful user of a controlled substance is any person who uses a controlled
substance and has lost the power of self-control with reference to the use of the controlled
substance or who is a current user of the controlled substance in a manner other than as
prescribed by a licensed physician. Such use is not limited to the use of drugs on a particular
day, or within a matter of days or weeks before, but rather that the unlawful use occurred
recently enough to indicate the individual is actively engaged in such conduct.
(2) An addict of a controlled substance is any individual who habitually uses any
narcotic drug so as to endanger the public morals, health, safety, or welfare; or is so far addicted
to the use of narcotic drugs as to have lost the power of self-control with reference to his or her
addiction.
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APPENDIX 7B: SPECIAL CIRCUMSTANCES 50
c. Pursuant to the Bond Amendment, DoD Components may not, absent a waiver, grant or
renew security clearances that provide access to SAPs, SCI, or RD for an individual who has
been:
(1) Convicted in any U.S. court of a crime, sentenced to imprisonment for that crime
and, as a result incarcerated for not less than 1 year;
(2) Discharged or dismissed from the Military Departments under dishonorable
conditions; or
(3) Determined to be mentally incompetent by an adjudicating authority, based on an
evaluation by a duly qualified mental health professional employed by, or acceptable to and
approved by, the U.S. Government and in accordance with established procedures and standards.
d. Waiver procedures:
(1) Adjudicators will determine if Bond Amendment criteria apply to the case.
(2) A meritorious waiver may be granted, if appropriate, for one or more of the
conditions specified in Paragraph 7B.3. if the adjudicator, using the adjudicative mitigating
factors, would have arrived at a favorable decision but for the Bond Amendment disqualification.
(3) If, after applying the appropriate mitigating factors listed in the adjudicative
guidelines, the adjudicator determines that a meritorious waiver is not appropriate, eligibility will
be denied or revoked with a statement of reasons (SOR) that includes the Bond Amendment.
The DoD’s established administrative review procedures, including hearing and appeal
processes, will be followed in all such cases.
(4) Meritorious waivers will be annotated in JPAS. Adjudicators will provide a detailed
justification for the waiver in JPAS.
(5) A meritorious waiver may be granted during any stage of the adjudication or due
process. If a tentative denial or revocation has been issued, the meritorious waiver decision will
be made by the Director or Deputy Director of the DoD CAF. If a letter of denial (LOD) or
letter of revocation (LOR) was issued by the DoD CAF, the final meritorious waiver decision
will be made by the head of the PSAB, or by the Director, DOHA, for industry cases.
e. By January 7 of each year, heads of adjudication facilities will submit to the OUSD(I&S)
Security Policy and Oversight Division an annual granted waiver report providing a summary of
all granted for the preceding calendar year. Each summary will detail:
(1) The applicable section of the Bond Amendment.
(2) The nature and date of the military discharge, dismissal, mental health issue, or
criminal offense (as applicable).
(3) Any sentence imposed.
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APPENDIX 7B: SPECIAL CIRCUMSTANCES 51
(4) The meritorious circumstance(s) cited in support of the waiver.
f. The DDI(I&S) will submit a final Consolidated Granted Waiver Report when waivers
were granted in the previous calendar year to Congress by February 1 in accordance with Title
50, U.S.C.
g. Adjudicators from the following DoD Components may authorize waivers of the Bond
Amendment disqualification in cases when the SOR or letter of intent (LOI) has not yet been
issued:
(1) DoD CAF.
(2) DIA.
(3) National Security Agency/Central Security Service.
(4) NGA.
(5) NRO.
h. Meritorious waivers issued for the Bond Amendment are not subject to reciprocity.
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APPENDIX 7C: ADJUDICATION OF INCOMPLETE NATIONAL SECURITY INVESTIGATIONS 52
APPENDIX 7C: ADJUDICATION OF INCOMPLETE NATIONAL
SECURITY INVESTIGATIONS
7C.1. GENERAL.
a. Rapid Assessment of Incomplete Security Evaluations is the Department’s tool for
assessing PSI quality and is part of CATS. Rapid Assessment of Incomplete Security
Evaluations will be used by all non-IC groups to evaluate incomplete national security
investigations that do not meet the federal investigative standards or lack sufficient information
required to adjudicate them.
b. A finished investigation report received by an adjudication facility, or authorized
designee, where a minor investigative element has not been met (e.g., missing one character
reference), does not necessarily require reopening the investigation; does not preclude favorable
adjudication; and does not require an exception (condition, deviation, or waiver), if the other
information provided by the individual or developed during the investigation is generally
favorable.
c. In circumstances where an investigation report received by the adjudication facility
contains insufficient detail to favorably resolve potentially disqualifying information, the
adjudication facility may (without re-initiating the investigation) acquire additional information
about the individual such as obtaining a medical evaluation or using interrogatories. A copy of
information acquired by the adjudication facility will be forwarded to the ISP and appended to
the investigative record.
d. Complete investigative information provides the best foundation for the adjudication
process. When adjudicators are faced with incomplete reports of investigations that have
missing scope item coverage, they must decide whether to return the investigation to the ISP,
make a determination despite the missing information, or gather the information themselves.
Training and experience provide adjudicators with the background for deciding between these
options.
e. Adjudicators may obtain and rely upon official records published (made publicly
accessible) by federal, State, or local government.
f. Further guidance in adjudicating investigations that have missing or incomplete
information is contained in the July 13, 2010 and March 10, 2010 USD(I) Memorandums.
7C.2. FACTORS TO CONSIDER. A decision about whether to return an investigation with
missing or incomplete scope items is a risk management decision that requires adjudicators to
use their best judgment to weigh many factors when evaluating an investigation. These factors
include:
a. Explanations for Missing or Incomplete Scope Items. Investigator notes documenting
why items are missing or incomplete can help adjudicators decide whether to make a
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APPENDIX 7C: ADJUDICATION OF INCOMPLETE NATIONAL SECURITY INVESTIGATIONS 53
determination despite missing information. When investigators cannot obtain the required
coverage in a case, they must document the efforts expended and the reasons for the unsuccessful
attempts. When appropriately documented and recorded by the ISP, the explanation should
provide enough information to help the adjudicator determine whether additional efforts would
result in a completed scope item.
b. Relevancy of Incomplete or Missing Scope Items. It is important that an investigation
include enough information to allow issue resolution. However, different scope items are
relevant for different issues. In general, any case that does not include enough information to
resolve the issue should be returned to the investigation provider. However, if a missing scope
item is not relevant to an adjudicative issue, it may not be necessary to return the investigation,
but the missing items must be documented in accordance with the August 31, 2010 USD(I)
Memorandum. Adjudicators are uniquely qualified to make decisions about the relevance of
sources to an issue. Guidance on adjudication of incomplete PSIs is contained in the July 13,
2010 USD(I) Memorandum.
c. Scope Item Importance. All scope items may gather information that is important to an
adjudicative determination. However, some items, like a subject interview when required, are
more likely to do so than others. A favorable decision made without information from these
types of critical scope items generally carries a greater risk.
d. Scope Item Leads or Sources. Some investigation scope items consist of a single source
of information; others may consist of multiple sources or leads. For scope items that consist of
multiple sources, one missing source may not be significant enough to make it necessary to
return the investigation. On the other hand, key information is missing if a single source item,
such as the credit check, has not been completed.
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SECTION 8: ACCESS DETERMINATIONS 54
SECTION 8: ACCESS DETERMINATIONS
8.1. ACCESS TO CLASSIFIED INFORMATION.
a. Granting national security eligibility is a function distinct from granting access to
classified national security information. National security eligibility determinations are made on
the merits of the individual case and involve examining a sufficient period of a person’s life and
background to determine that the person is an acceptable national security risk. Access
determinations are made solely on the basis of the eligible individual’s need for access to
classified information to perform official duties.
b. The adjudication facility determines the level of eligibility based on the adjudicative
record and the National Security guidelines. The employing activity determines access level
based on eligibility, need-to-know, and the requirements of the position held. Before granting
access to classified information, the individuals must sign the appropriate nondisclosure
agreements in accordance with E.O. 12829 if JPAS does not reflect a previously signed
nondisclosure agreement.
c. DoD guidance on access to classified information by individuals in the Executive Branch
is contained in DoDM 5200.01. Guidance for persons outside the Executive Branch is in DoDM
5200.01.
8.2. ONE-TIME OR SHORT DURATION ACCESS. Circumstances may arise where an
urgent operational or contractual exigency exists for cleared DoD personnel to have one-time or
short-duration access to classified information at a higher level than authorized by the existing
eligibility level. Requirements for one-time or short-duration access are prescribed in the
December 12, 2005 Office of Management and Budget Memorandum. The exercise of this
provision will be used sparingly. Repeatedly using multiple short duration accesses for the same
individual during any 12-month period is prohibited.
a. Conditions. If the access granted involves another agency’s classified information, then
that agency must concur before access is granted. Access must not exceed 180 days and is
limited to specific, identifiable information that is made the subject of a written record.
b. Procedures.
(1) Authorization will be granted by a GO/FO, a civilian equivalent, or a general court-
martial convening authority after coordination with appropriate security professionals.
Authorities may grant one-time or short-duration access to information classified at the same (or
lower) level of access as that held by the authority.
(2) The recipient of the one-time access authorization must be a U.S. citizen and possess
a current national security eligibility.
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SECTION 8: ACCESS DETERMINATIONS 55
(3) Access at the next higher level for COMSEC, SCI, SAP, NATO, National Command
and Control-Extremely Sensitive Information, or foreign government information is not
authorized.
(4) The employee to be afforded the higher level access must have been continuously
employed by a DoD Component or a cleared DoD contractor.
(5) Local, personnel, and security records of the employee concerned will be reviewed to
ensure there is no derogatory information.
(6) Access at the higher level will be limited to information under the control and
custody of the authorizing official and will be afforded under the general supervision of an
employee cleared to the classification level for the information. The employee charged with
providing such supervision is responsible for recording the higher-level information actually
revealed, the date(s) such access is afforded, and the daily return of the material accessed
(7) Such access will be cancelled promptly when no longer required, at the conclusion of
the authorized period of access, upon notification from the granting authority, or after 180 days
from when access is granted, whichever comes first.
(8) The authorized security professional will post the one-time or short-duration access
in JPAS and maintain the following for 24 months from the date the access is granted:
(a) The name and social security number of the employee afforded access.
(b) The date and level of access authorized.
(c) Compelling reason to grant the higher-level access and the benefit to the DoD
mission or event.
(d) The identity of the approving authority.
c. Revocation. This special authority may be revoked for abuse, inadequate record keeping,
or inadequate security oversight.
d. Other Circumstances. Do not use one-time or short-term access when circumstances
would permit the routine processing of an individual for a higher-level security eligibility.
8.3. SPECIAL CASES. When necessary in the interests of national security, the DoD
Component heads or their senior agency official may authorize access to classified information
by persons outside the Federal Government, as prescribed in DoDM 5200.01.
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SECTION 9: PERSONNEL SECURITY ACTIONS 56
SECTION 9: PERSONNEL SECURITY ACTIONS
9.1. GENERAL.
a. Unfavorable national security eligibility determinations do not include administrative
security clearance downgrades or withdrawals based on changed duties or similar circumstances
unrelated to a national security eligibility adjudication, or withdrawals of interim eligibility
based on derogatory information.
b. This section provides guidance only for the internal operation of the DoD. It is not
intended to, does not, and may not be relied upon to create or enlarge the jurisdiction or review
authority of any court or administrative tribunal, including the Merit Systems Protection Board.
9.2. REFERAL OF DEROGATORY INFORMATION FOR ACTION.
a. Whenever derogatory information about an individual with national security eligibility
(regardless of whether that individual has access to classified information) is developed or
otherwise becomes available to any DoD element that is relevant to the adjudicative guidelines,
it will be referred to the commander or the security professional of the DoD organization to
which the person is assigned for duty. Reporting will be in accordance with Section7 of this
manual.
b. Whenever it is determined an individual may be involved with a foreign intelligence
entity, the matter will be referred to the supporting Military Department CI organization
(MDCO) (for civilians or military personnel) or the FBI (for contractor personnel), with copy to
DSS, as appropriate, to resolve issues related to a request for investigative or operational support.
Organizations will comply with these steps unless directed to do otherwise by the MDCO or
FBI:
(1) After coordinating with the supporting MDCO or the FBI, with copy to DSS, as
necessary, cognizant commanders or security professionals will evaluate referred information in
terms of its security significance and completeness. Commanders will coordinate with local
security and law enforcement, as appropriate.
(2) Commanders or security professionals will report derogatory information and any
actions taken or anticipated within 72 hours to the appropriate adjudication facility via JPAS, and
make a determination on whether the derogatory information warrants the suspension of access
to classified information.
(3) If further information is needed to resolve the allegations, the DoD CAF will request
additional investigation. The DoD CAF will take the appropriate adjudicative action to include
possible suspension of the eligibility in accordance with Paragraph 9.4.a. This does not preclude
or preempt the authority of the commander or security professional with respect to the
individual’s local access.
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SECTION 9: PERSONNEL SECURITY ACTIONS 57
c. Reports of derogatory information involving contractor personnel must be referred
directly to the DSS or Personnel Security Management Office for Industry and to the DoD CAF.
The DoD CAF will take the appropriate adjudicative action in accordance with Paragraph 9.5.a
and referral to the DOHA for possible action, in accordance with DoDD 5220.6. Military and
civilian security officers should evaluate the nature of the derogatory information and make a
risk management decision whether or not to remove the individual from access pending final
review by the DoD CAF or DOHA. Contractors under the NISP report in accordance with DoD
5220.22-M.
d. No final unfavorable national security eligibility determination may be taken without
providing the opportunity to invoke due process protections contained in Section 7 of this
manual.
9.3. LOSS OF JURISDICTION.
a. A loss of jurisdiction results when an individual retires, separates, or ends their affiliation
with DoD before an adjudications facility can make an eligibility determination. Under these
circumstances the adjudication facility will cease all work on the individual’s adjudicative
record.
b. When a loss of jurisdiction occurs the adjudication facility will register an eligibility of
none in the system of record.
c. When an individual re-affiliates, the owning organization will communicate with the DoD
CAF to determine whether eligibility can be established based on the existing background
investigation or if a new background investigation is required.
9.4. SUSPENSION OF NATIONAL SECURITY ELIGIBILITY OR ACCESS.
a. Except for cases involving NISP contractor personnel, which are administered according
to the suspension standards set by DoDD 5220.6 and Volume 2 of DoDM 5220.22, the DoD
CAF and the DoD IC central adjudication facilities are solely responsible for suspending national
security eligibility.
(1) The adjudication facility will evaluate any credible derogatory information it receives
within 15 calendar days and make an initial determination indicating whether or not a cleared
individual’s continued eligibility is clearly consistent with the interests of the national security.
(2) Adjudication facility officials should confirm with the reporting organization to
ensure derogatory information has been reported to CI or law enforcement authorities as
appropriate.
b. DoD Component heads, commanders, or their authorized representatives, may suspend
access for cause when information relative to any of the adjudicative guidelines exists and raises
a serious question as to the individuals’ ability or intent to protect national security information.
The Director, DSS, has the authority to suspend access for cause for cleared employees of
DoDM 5200.02, April 3, 2017
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SECTION 9: PERSONNEL SECURITY ACTIONS 58
contractors under the NISP in accordance with References DoD 5220.22-M and the May 13,
2009 USD(I) Memorandum.
c. DoD Component heads, commanders, or their authorized representatives must report
access suspensions to the appropriate adjudication facility via the JPAS incident report link
within the same calendar day as the suspension. This action alerts registered JPAS users of the
change in the person’s status. The MDCO or FBI may direct this reporting not be done.
d. DoD Component heads, heads of DoD agencies, commanders, or their authorized
representatives must include a command recommendation to the supporting adjudication facility
on whether to retain the individual’s national security eligibility pending the conclusion of an
investigation or when rendering a final determination, and provide the individual with a copy of
that recommendation.
e. Local commanders or organization heads, as appropriate, must notify persons in writing
when their eligibility or access has been suspended and include a brief statement of the reason(s)
for the suspension of access consistent with the interests of national security.
f. Adjudication facilities must notify persons in writing when their eligibility has been
suspended and include a brief statement of the reason(s) for the suspension of eligibility
consistent with the interests of national security.
g. Individuals will sign a receipt, acknowledging receipt of the suspension notification,
which must state that the receipt is not an acknowledgement of culpability or concurrence with
the suspension.
h. The adjudication facility will render a new national security eligibility determination upon
receipt of a finalized incident report associated with a suspension of national security eligibility
and enter the determination in JPAS. Before restoring access, local commanders, organization
heads, or security professionals must verify eligibility in JPAS.
i. Suspension cases must be resolved as quickly as circumstances permit. Suspensions
exceeding 180 days must be closely monitored and managed by the adjudication facility
concerned so as to expeditiously reach a new national security eligibility determination.
j. The OUSD(I&S) Security Policy and Oversight Division will monitor the number of
suspensions that exceed 180 days.
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SECTION 10: APPEAL PROCESS 59
SECTION 10: APPEAL PROCESS
10.1. GENERAL.
a. Individuals will be provided an opportunity to appeal an adjudication facility’s
unfavorable national security determination in accordance with the procedures contained in this
section.
b. SCI due process procedures will be conducted in accordance with DoDI 5210.45 and
Intelligence Community Policy Guidance Number 704.3, as applicable.
c. DoD Components may enter into agreements to have DOHA review written appeals and
provide the Component’s PSAB a recommended decision.
10.2. MINIMUM DUE PROCESS REQUIREMENTS APPLICABLE TO ALL. No
unfavorable national security eligibility determination will be made without first:
a. Providing the individual with a comprehensive and detailed written explanation of the
basis for the unfavorable determination as the national security interests of the United States and
other applicable law permit. The LOD or LOR must include each security concern, the
applicable adjudicative guideline(s) related to each concern, and provide an explanation of the
kinds and types of information they could provide to support their appeal.
b. Informing the individual of their right to:
(1) Be represented by counsel or other representative at their own expense.
(2) Request the documents, records, and reports upon which the unfavorable national
security determination was made. Be granted an extension to the set timeline by the Component
PSAB if requested documents, records, and reports are not provided promptly.
c. Providing a reasonable opportunity to reply in writing and to request review of the
unfavorable determination.
d. Providing the individual written notice of reasons for the determination, the determination
of each adjudicative guideline that was provided to the individual in the statement of reasons
(SOR) that accompanied the notification of intent (NOI) to deny or revoke the identity of the
determination authority, and written notice of the right to appeal unfavorable determinations to a
high-level panel.
e. The individual must acknowledge the receipt of the LOD or LOR and indicate in writing
if they will submit an appeal. If the individual refuses to acknowledge receipt or indicate
whether an appeal will be submitted, the security professional will make a written record of the
refusal and submit it to the adjudication facility.
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SECTION 10: APPEAL PROCESS 60
f. Providing the individual an opportunity to appear in person and present relevant witnesses,
documents, materials, and information.
g. Providing the individual with a written decision on appeal.
h. When a DoD Component head or principal deputy personally certifies that a procedure in
this section cannot be made available in a particular case without damaging the national security
interests of the United States by revealing classified information, the particular procedure will
not be made available. This certification is conclusive.
(1) This section does not limit or affect the responsibility and power of a DoD
Component head pursuant to any law or other E.O. to deny or terminate access to classified
information in the interests of national security.
(2) The power and responsibility to deny or revoke eligibility for access to classified
information pursuant to any law or E.O. may be exercised only where the DoD Component head
determines that the procedures prescribed in Section 7 and this section cannot be invoked in a
manner that is consistent with national security. This determination is conclusive.
10.3. SPECIFIC PROCEDURES FOR CONTRACTOR EMPLOYEES. DoD contractor
personnel will be afforded the appeal procedures in DoDD 5220.6.
10.4. SPECIFIC PROCEDURES FOR CIVILIAN EMPLOYEES AND MILITARY
MEMBERS.
a. No unfavorable national security eligibility determination will be rendered unless the
civilian employee or military member concerned has been:
(1) Provided an LOI. The LOI to deny or revoke must accompany or include the SOR
and contain:
(a) A summary of the security concerns and supporting adverse information.
(b) Instructions for responding to the SOR.
(c) A copy of the relevant adjudicative guidelines.
(d) A list and description of the information relied upon to render the proposed
unfavorable national security eligibility determination.
(2) Provided a Written SOR. The SOR must state the basis for the proposed unfavorable
national security eligibility determination. The SOR must be as comprehensive and detailed as
national security and Section 552 of Title 5, U.S.C. and DoD 5400.11-R permit. The SOR must
explain each security concern, state the specific facts that trigger each security concern, identify
the applicable adjudicative guideline(s) for each concern, and provide the disqualifying
conditions and mitigating conditions for each adjudicative guideline cited.
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(3) Afforded an Opportunity to Reply to the LOR and SOR. The reply must be in
writing to the adjudication facility.
(a) The individual must notify the adjudication facility in writing within 10 calendar
days of receipt of the LOI and SOR whether he or she intends to reply to the LOI and SOR.
(b) The individual’s reply to the LOI and SOR must be submitted no later than 30
calendar days from the date he or she received the LOI and SOR. An extension of up to 30
calendar days from the original deadline may be granted by the employing organization
following submission of a written request from the individual before the expiration of the
original deadline. Additional extensions may only be granted by the adjudication facility when
factors beyond the individual’s control (e.g., failure of the DoD CAF or the ISP to provide
records in a timely manner) warrant granting additional time.
(c) The adjudication facilities will not deny or revoke an individual’s national
security eligibility without official documentation that the individual received the LOI and SOR.
(4) Provided a Written LOD or LOR.
(a) When a favorable determination cannot be rendered, the central adjudication
facilities will provide the individual via the appropriate Component or command security office,
a written LOD or LOR stating the final determination of each adjudicative guideline that was
provided to the individual in the statement or reasons (SOR) that accompanied the NOI to deny
or revoke was mitigated or unmitigated and reason(s) for denying or revoking national security
eligibility.
(b) The LOD or LOR will include clear instructions on how to appeal the
unfavorable determination.
(c) The central adjudication facilities will provide the written LOD or LOR as
promptly as individual circumstances permit but no more than 60 calendar days from the date of
receipt of the individual’s reply to the SOR and LOI, provided no additional information is
deemed necessary to render the national security eligibility determination.
(d) When an LOD or LOR is based on the failure of the individual to reply to the
SOR and LOI, the LOD or LOR will include all of the security concerns, adjudicative guidelines,
and mitigating factors contained in the SOR and LOI and the reason(s) for denying or revoking
national security eligibility.
(e) If an LOD or LOR cannot be completed within the time frame allowed, the
individual will be notified in writing of this fact, the reasons why, and the date the written LOD
or LOR is expected to be completed, which will not normally exceed a total of 90 calendar days
from the date of receipt of the reply to the SOR and LOI.
(f) The DoD Component or command security professionals will notify the
appropriate adjudication facility within 10 calendar days if they are unable to deliver the LOD or
LOR to the individual. The notification will include information as to why the LOD or LOR
could not be delivered (e.g., illness or death in the family, deployment) and when it is expected
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the individual can receive a copy of the LOD. Security professionals must deliver the LOD
immediately upon the individual’s return.
(5) Afforded an Opportunity to Appeal the LOD or LOR.
(a) Within 10 calendar days of receipt of LOD or LOR, the individual will sign and
return the notice of intent to appeal (NOIA) to the adjudication facility via their security office.
The individual must state whether he or she intends to appeal, and if so, whether he or she
requests a personal appearance or will appeal in writing. The local security professionals may
grant a single 10 calendar day extension upon request from the individual. The grant of a 10
calendar day extension must be annotated in JPAS. All other requests for extension must be
granted by the adjudication facility.
(b) Within 4 calendar days of receipt of the individual’s NOIA, security offices will
forward the NOIA to the adjudication facility.
(c) The adjudication facility will store signed statements acknowledging receipt of
LOD and NOIA electronically in the subject’s adjudicative record.
(d) If the individual elects to appeal the LOD or LOR, the adjudication facility will
forward a copy of the NOIA within 2 calendar days to the appropriate PSAB and to DOHA if a
personal appearance is requested. The adjudication facility will also forward the individual’s
adjudicative record within 2 calendar days to the appropriate PSAB for direct appeals or to
DOHA if a personal appearance is requested. The adjudicative record will contain all of the
materials the adjudication facility relied upon to render its determination as well as the LOI,
SOR, LOD or LOR, the commander’s recommendation, and any rebuttal materials the individual
provided in response to the LOI/SOR.
(e) If a decision is made to appeal the LOD or LOR, individuals may do so by:
1. Written appeal directly to the applicable DoD Component PSAB. Individuals
must, within 30 calendar days of receipt of a LOD or LOR, write to the applicable DoD
Component PSAB stating reasons why the denial or revocation should be overturned and provide
any additional relevant information that may have a bearing on the case. The appeal and
supporting documentation will be transmitted to the DoD Component PSAB via the individual’s
security office. The DoD Component PSAB president or designee may grant a 30 calendar day
extension of time for good cause demonstrated by the appellants (e.g., illness or death in the
family, deployment).
2. Appendix 7B to this manual explains the personal appearance process before a
DOHA AJ.
(6) Provided a Final Written Decision by the DoD Component PSAB. The DoD
Component PSAB will review the adjudicative file and any appeal materials (including the
DOHA AJ recommendation, if applicable), and render a final decision. If the DoD Component
PSAB agrees with the AJ’s written recommendation, the DoD Component PSAB may adopt the
AJ’s written recommendation in lieu of providing a DoD Component PSAB written
determination. The individual will be notified of the DoD Component PSAB’s final
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SECTION 10: APPEAL PROCESS 63
determination via the subject’s security professional, generally within 45 calendar days of the
receipt of a direct appeal or 30 calendar days from receipt of the AJ recommendation. The DoD
Component PSAB’s written decision will identify each adjudicative guideline issue stated in the
LOD or LOR that formed the basis of the denial or revocation that remains unmitigated after the
appeal and the rationale for the final disposition of the appeal.
(7) New Information Considered by the DoD Component PSAB. Should the president
of the DoD Component PSAB determine that information not contained in the adjudicative
record or the appeal material is needed to render a final determination (e.g., updated credit
bureau report, information from the command) such information must be provided to the
individual, who then must be provided a reasonable period of time to offer any rebuttal to this
information, before it being considered by the DoD Component PSAB.
b. The head of the local organization of the individual receiving a SOR and LOI will
designate a POC to serve as a liaison between the adjudication facility and the individual. The
duties of the POC will include, but are not limited to:
(1) Delivering the SOR and LOI and having the individual acknowledge receipt of the
SOR and LOI. POCs and a witness will document the delivery if the individual refuses
acknowledgement.
(2) Determining whether the individual intends to respond within the time specified and
reporting this information to the adjudication facility.
(3) Explaining the consequences of the proposed action and the need to respond in a
timely fashion.
(4) Explaining how to obtain time extensions.
(5) Explaining how to obtain copies of investigative records.
(6) Explaining the procedures for responding to the SORs.
(7) Explaining individuals’ entitlement to obtain legal counsel or other assistance at their
own expense within the relevant time periods.
10.5. RECORDING FINAL DETERMINATINOS. DoD Component PSABs will provide
electronic copies of all final decisions to the adjudication facility that made the initial
unfavorable determination. The adjudication facility will update JPAS within 2 calendar days to
reflect current eligibility and append the DoD Component PSAB decision to the individuals’
adjudicative records.
10.6. RECONSIDERATION. Commanders may request reconsideration of unfavorable
national security determinations for individuals within their command to address specific
mission needs after the passage of 1 year following a denial or revocation. The year is counted
from the date of the denial or revocation decision by the consolidated adjudication facility; or, if
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SECTION 10: APPEAL PROCESS 64
the individual elected to appeal, 1 year from the date of the final appeal determination.
Individuals who terminate their affiliation with DoD for 24 months or more after a unfavorable
national security determination are not subject to the reconsideration process. When attempting
to re-affiliate with DoD these individuals will be submitted for a new investigation.
a. DoD Components’ requests for reconsideration will be examined only when forwarded
and recommended by officials of the employing Component.
b. Not all cases meet the test for reconsideration, and passage of time alone is not a sufficient
criterion. Occasionally, the issues in a case will be so recent or serious that a longer time may be
appropriate to resolve the issues or to establish an affirmative track record to minimize the
probability of recurrence.
c. If a denial or revocation is based on significant derogatory information that has been
reported to a CI or law enforcement authority, the DoD CAF should consult with the CI or law
enforcement authority before reconsideration to ensure it has all relevant information.
d. The requirements for DoD Component requests for reconsideration are:
(1) The individual’s eligibility has been denied or revoked for at least 1 year. The year is
counted from the date of the denial or revocation decision by the adjudication facility, or, if the
individual elected to appeal, 1 year from the date of the final appeal determination.
(a) When 2 years or more have passed, the DoD Component will determine what
checks or investigations are required to support the reconsideration.
(b) A new national security investigation must be conducted by the ISP and the
report of investigation adjudicated to determine if eligibility will be granted when there has been
a 2-year break in service or the last investigation is out of scope.
(2) Cases will not be resubmitted or reassessed solely based on an individual’s personal
desire to acquire eligibility. Reconsideration is not a personal right or entitlement.
(3) DoD Component requests for reconsideration must be made to the adjudication
facility from security office(s) and must meet an operational need of the DoD Component. The
individual must be selected or tentatively selected for a national security position. Requests for
reconsideration will include explicit statements of DoD Component support.
(4) Security offices will ensure DoD Component requests for reconsideration are
complete. The request must include evidence that the issues which caused the denial or
revocation have been resolved.
(5) Once security offices submit their DoD Components’ request for reconsideration, no
supplemental information will be accepted or considered unless requested by the adjudication
facility. Information requested by the adjudication facility will be submitted within the time
specified by the adjudication facility.
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SECTION 10: APPEAL PROCESS 65
(6) A DoD Component’s request for reconsideration does not reopen or otherwise affect
the denial or revocation decision.
e. Commands seeking reconsideration are responsible for providing documentation that the
circumstances or conditions that resulted in the final adverse eligibility determination have been
rectified or sufficiently mitigated to warrant reconsideration, which will be forwarded to the
adjudication facility by the DoD Component.
f. The adjudication facility has the authority to grant or deny the reconsideration based on a
review of the DoD Component documentation to determine the extent to which circumstances or
conditions have been rectified or sufficiently mitigated.
g. When a reconsideration determination is denied, the adjudication facility will provide
notification through the command to the DoD Component in writing, generally within 30 days
from receipt of request for reconsideration.
h. JPAS will be annotated accordingly.
i. No due process is afforded for denial of a DoD Component’s request for reconsideration.
j. Commands may determine the submission of a new background investigation is merited
rather than a request for reconsideration.
k. For reconsideration cases involving NISP contractor personnel, see DoDD 5220.6.
10.7. REINSTATEMENT OF CIVILIAN EMPLOYEES. A DoD civilian whose
employment was terminated based on the denial or revocation of national security eligibility will
not be reinstated, restored to duty, or reemployed in a sensitive or national security position in
the DoD unless the Secretary of Defense or the employee’s DoD Component head finds that
doing so is clearly consistent with the interests of national security. That finding must be made
part of the personnel security record.
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APPENDIX 10A: PSAB STRUCTURE AND FUNCTIONING 66
APPENDIX 10A: PSAB STRUCTURE AND FUNCTIONING
PSAB panels will be structured and function to meet these requirements:
a. The PSAB will include a president and two members.
(1) The PSAB president will be a DoD military member or civilian at a minimum grade
of O-6 or general schedule/general grade-15 or equivalent. There will be no more than one
security specialist on the PSAB.
(2) Board members will be of a minimum grade of O-5 or general schedule / general
grade-14 or equivalent.
(3) At least one board member will be equivalent or senior in grade to the appellant.
(4) One board member may be an attorney, unless the board has access to legal counsel.
(5) Officials from the adjudication facility will not serve as a member of the PSAB.
b. The PSAB will:
(1) Process appeals in a first in, first out basis.
(2) Process appeals with appearances before DOHA within 30 calendar days of receipt of
the recommendation of the AJ.
(3) Process direct appeals within 45 calendar days of receipt.
(4) Require each board member review each appeal received independently and conduct
a de novo review of each of the unmitigated adjudicative guideline issues that were stated in the
LOD or LOR.
(5) Not communicate with officials from the adjudication facility concerning case merits.
However, in cases where the PSAB identifies relevant information that was available during the
DoD CAF adjudication process but was not considered by the DoD CAF, the PSAB president
may remand the case back to the DoD CAF and request appropriate action.
(6) Require all board members to participate in the discussion of the merits of each
appeal and cast an independent vote on whether to affirm or overturn the unmitigated
adjudicative guideline issues stated in the LOD or LOR. Appeals will be decided by majority
vote.
(7) Conclude the appeal process with issuing the majority PSAB determination which
will be final.
(8) Notify appellants in writing of the PSAB’s final determination and supporting
rationale through command channels.
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APPENDIX 10B: PERSONAL APPEARANCES BEFORE DOHA 67
APPENDIX 10B: PERSONAL APPEARANCES BEFORE DOHA
10B.1. The adjudication facility will provide DOHA with a copy of appeal through personal
appearance NOIAs and the individual’s adjudicative record within 2 calendar days of receipt of
the NOIA via the CATS portal.
10B.2. The DOHA will assign the case to an AJ within 2 work days of receipt of the NOIA.
10B.3. The AJ will schedule a personal appearance (generally within 30 calendar days from
receipt of the request), and arrange for the production of a verbatim transcript of the proceedings.
10B.4. For appellants at duty stations within the contiguous United States, personal appearances
may be conducted at a DOHA site, at an appellant’s duty station, a nearby suitable location, or
via video teleconference (VTC). For individuals assigned to duty stations outside the 48
contiguous states, personal appearances generally will be conducted via VTC using a suitable
location at or near the appellant’s duty station.
10B.5. Any travel costs for appellants to appear in person at a DOHA location or at a duty
station near their location will be the responsibility of the employing organization, if the
employer cannot provide means for VTC from the appellant’s location.
10B.6. AJs will conduct proceedings in a fair and orderly manner.
10B.7. Appellants may:
a. Be represented by counsel or personal representative at their own expense.
b. Make oral presentations, and respond to questions posed by counsel or personal
representative. Appellants must also respond to questions asked by the AJs or DOHA counsel.
10B.8. The appellant and DOHA counsel may:
a. Submit documents relative to whether the LOD or LOR should be overturned.
b. Present or cross-examine witnesses.
10B.9. Witnesses will appear at no cost to the government.
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APPENDIX 10B: PERSONAL APPEARANCES BEFORE DOHA 68
10B.10. Witnesses may address matters relevant to the establishment, refutation, extenuation, or
mitigation of the facts alleged in the SOR.
10B.11. Neither appellants nor the AJs may challenge the official U.S. Government
characterization of the nature of any country, organization, or individual other than the individual
or the individual’s witnesses.
10B.12. The DOHA AJ will conduct a de novo review of the unmitigated adjudicative guideline
issues stated in the LOD or LOR and issue, generally within 30 calendar days of the close of the
record, written recommendations to the appropriate PSAB whether to sustain or overturn the
denial or revocation. DOHA’s recommendations will set forth pertinent findings of fact,
policies, and conclusions as to the unmitigated adjudicative guideline issues stated in the LOD or
LOR and whether it is clearly consistent with the national security interests of the United States
to grant or deny the appellant’s national security eligibility. DOHA’s recommendation along
with the adjudicative file and any documents submitted by the appellant will be forwarded to the
appropriate PSAB via the CATS portal.
10B.13. DOHA will provide the DoD Component PSAB with a weekly status update for all
cases that exceed 30 calendar days. The update will include the name of the appellant, the case
number, the date of the personal appearance hearing, the date the record will close, and the
projected date the AJ recommendation will be finalized.
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SECTION 11: CE AND REPORTING REQUIREMENTS 69
SECTION 11: CE AND REPORTING REQUIREMENTS
11.1. GENERAL.
a. Personnel security determinations assess whether an individual can be trusted to protect
national security. It is impossible to establish with certainty, based on an eligibility
determination that human beings will continue to behave in ways to retain such trust.
Accordingly, a favorable national security eligibility determination is but one facet of an
effective personnel security program.
b. CE is the periodic reviewing of the individual’s background to determine whether they
continue to meet the requirements for national security eligibility. DoDI 5200.02 requires all
personnel in national security positions will be subject to CE.
c. DoD Components must continuously assess those employees with favorable national
security determinations to ensure they can continue to be trusted to protect national security.
Organizational commanders or managers, supervisors, co-workers, and individuals with
favorable national security eligibility determinations have a personal responsibility to
expeditiously report behaviors they observe or commit that cause a security concern, such as:
(1) Any incident or behavior identified in the August 30, 2006 USD(I) Memorandum;
Intelligence Community Policy Guidance Number 704.1; and Volume 2 of DoDM 5220.22 will
be reported first to the supervisor, security professional, or commander. This includes, but is not
limited to, reporting of investigations of government travel card misuse, abuse, or fraud.
(2) A crime will be reported to a law enforcement authority.
(3) An incident or behavior will be reported to the MDCO in accordance with DoDD
5240.06.
(4) Information that suggests an individual may have an emotional, mental, or
personality condition that can impair judgment, reliability, or trustworthiness will be reported to
the supporting adjudication facility. Such information may include, but is not limited to:
(a) A known history of a mental disorder.
(b) A report that an individual has sought treatment for a mental, emotional, or
substance abuse condition (commensurate with any reporting limitations of Section 21 on the
SF86).
(c) Direct and indirect threats of violence.
(d) Physical altercations, assaults, or significant destruction of U.S. Government
property.
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SECTION 11: CE AND REPORTING REQUIREMENTS 70
(e) An abrupt and significant change in an individual’s appearance or behavior
suggesting impaired judgment or stability (e.g., deteriorating physical appearance or self-care,
social withdrawal).
(f) Signs of substance use or intoxication on the job.
(g) An indication of substance abuse after completion of treatment.
(h) Evidence of alcohol or drug related behavior outside the workplace (e.g., driving
under the influence, public intoxication charges).
(i) Suicide threats, attempts, or gestures or actions.
(j) Any other behaviors which appear to be abnormal and indicate impaired
judgment, reliability, or maturity.
d. Reporting requirements for contractors are established in DoD 5220.22-M.
11.2. CE RESPONSIBILITIES.
a. Commanders, DoD Component Heads, Directors, Supervisors, and Security
Professionals’ Responsibilities. Supervisors, managers, and security professionals play a
critical role in assuring the success of the CE program. The goal of CE is timely detection and
reporting of potential issue information.
(1) Commanders, DoD Component heads, and directors of organizations will ensure that:
(a) Personnel assigned to sensitive duties receive initial security briefing and annual
refresher briefings on the national security implications of their duties and their individual
responsibilities. These briefings will emphasize the individuals’ responsibility to meet the
standards and criteria for security eligibility as stated in the December 29, 2005 White House
Memorandum and Intelligence Community Policy Guidance 704.2.
(b) Personnel in national security or sensitive positions are provided with information
about available programs (e.g., employee assistance) designed to help employees address
questions or concerns regarding issues that may affect their ability to remain eligible for access
to classified or assignment to sensitive positions.
(c) Unfavorable information (e.g. government travel card misuse, abuse, or fraud and
administrative or disciplinary action taken as a result of management review or investigation) is
reported to the appropriate security, law enforcement, or CI professionals for appropriate action.
Upon coordination with CI and law enforcement professionals as necessary, unless directed
otherwise by the supporting CI professional, the incident report will be forwarded to the
adjudication facility via JPAS. Local commanders may suspend access to classified information
or assignment to sensitive duties if they believe the behavior causes doubts about whether the
individual’s continued access is in the best interest of national security. Access to classified
information or assignment to sensitive duties may be restored following the supporting
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SECTION 11: CE AND REPORTING REQUIREMENTS 71
adjudication facility’s favorable national security determination. However, if issues have not
been resolved within 20 calendar days, action must be taken in accordance with Section 3 of this
manual. When the unfavorable information relates to a contractor employee, the USD(I&S) and
the Director, DSS have the authority to take interim suspension action in accordance with DoDD
5220.6, Volume 2 of DoDM 5220.22, and the May 13, 2009 USD(I) Memorandum.
(d) Supervisory personnel are informed of their personnel security responsibilities
and provided guidance on indications of potential personnel security concerns and procedures to
follow to report them in a timely manner. Programs will include:
1. Training and continuous education on reportable behaviors.
2. Procedures for immediate reporting of derogatory information (e.g.
government travel card misuse, abuse, or fraud and associated investigations and administrative
or disciplinary action taken) through appropriate channels to the appropriate adjudication facility.
3. Outreach to inform personnel of programs to address behavior(s) that may
affect their continued eligibility for access to classified information or assignment to a sensitive
position.
(e) Reporting by health care professionals regarding military personnel is subject to
the limitation required by DoDI 6490.08.
(2) Supervisors will:
(a) Continuously evaluate individuals with national security eligibility to determine if
they continue to be trustworthy in accordance with the security standards in the adjudicative
guidelines enumerated in the December 29, 2005 White House Memorandum and Intelligence
Community Policy Guidance 704.2, or successor documents, as appropriate.
(b) Report any derogatory information that falls within the adjudicative guidelines
(e.g. government travel card misuse, abuse or fraud) to their cognizant security professional or
commander. Failure to report derogatory information may trigger an adverse security action in
accordance with Paragraph 11.2.b.
(c) Ensure the discharge of security responsibilities is included in personnel
performance evaluations, pursuant to Section 552a of Title 5, U.S.C. and in accordance with
applicable DoD Component guidance.
(3) Security professionals, at the direction of the commander, will:
(a) Report unfavorable information meeting the reportable behavior guidelines
contained in the Appendix 5A to the supporting adjudication facility, law enforcement, or CI
supporting activity. When authorized, forward the report to the adjudication facility via JPAS or
the CATS Portal, as appropriate.
(b) Provide the following details for all security incidents or issues of a security
concern (to the extent available):
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1. Nature and seriousness of the conduct.
2. Circumstances surrounding the conduct.
3. The frequency and recency of the conduct.
4. The age of the individual at the time of the conduct.
5. The voluntariness or willfulness of the individual’s participation or conduct.
6. The knowledge the individual had of the consequences involved.
7. The motivation for the conduct.
8. How the command became aware of the information.
9. Actions the individual has taken to correct the issue, including medical
treatment, counseling, lifestyle changes, or other corrective actions.
10. The stability of the individual’s lifestyle or work performance, including
demonstrative examples.
11. Cooperation on the part of the individual in following medical or legal advice
or assisting in command efforts to resolve the security issue.
12. A command recommendation to the supporting adjudication facility with a
copy of that recommendation to the individual on whether to retain an individual’s eligibility
pending the conclusion of a national security investigation or when rendering a final
determination.
(c) Report unfavorable information that becomes available concerning cleared NISP
contractor personnel to the DoD CAF, DSS, and to the contractor facility security officer.
b. Employee Responsibilities. All employees are obligated to advise the appropriate
authorities or officials when they become aware of any information, behavior, or conditions that
may pose a security concern, or that raise doubts whether a co-worker’s eligibility or access to
classified information or assignment to sensitive duties is consistent with national security. If it
is proven that an employee failed to report facts about a co-worker, an adverse national security
eligibility action may be initiated against the employee who failed to report it.
c. Individual Responsibilities. Personnel should familiarize themselves with pertinent
security regulations that pertain to their assigned duties. Further, they should be aware of the
standards of conduct required of persons with national security eligibility as well as the security
requirements of those positions. They should recognize and avoid the kind of personal behavior
(i.e. government travel card misuse, abuse, or fraud) that would render them ineligible for
continued access to classified information or assignment to sensitive positions. In the final
analysis, the ultimate responsibility for maintaining continued national security eligibility rests
with the individuals. Personnel having access to classified information will:
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(1) Protect classified information in their custody from unauthorized disclosure.
(2) Be aware of and comply with PR, CE, and reporting requirements.
11.3. ADDITIONAL REPORTING REQUIREMENTS FOR INDIVIDUALS WITH
ACCESS TO SCI INFORMATION. Individuals with access to SCI information will comply
with reporting requirements identified in Volume 3 of DoDM 5105.21.
11.4. FINANCIAL DISCLOSURE. Individuals who have been identified by their respective
DoD Component head must file with their respective DoD Component a financial disclosure
report in accordance with Section 1.3(a) of E.O. 12968.
a. Financial disclosure information will be reported using SF 714, “Financial Disclosure
Report,” or an equivalent form approved by the SecEA.
b. Failure to submit required financial information may result in the withdrawal of access to
classified information.
11.5. POST-ADJUDICATION ISSUES. Upon receipt of a report of adverse information from
any source, an adjudicator will evaluate the report and determine whether post-adjudicative
actions are required. If the adjudicator’s review determines the reported information is not
adequate or detailed enough to make an eligibility determination, the adjudicator may employ
authorized means (e.g., requests for special investigations, interrogatories, contacts with subjects
and employers, requests for information from security professionals, requests for medical or
psychological evaluation, and record searches) to obtain additional information to make an
eligibility determination.
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SECTION 12: EDUCATION, TRAINING, AND PROFESSIONAL CERTIFICATION 74
SECTION 12: EDUCATION, TRAINING, AND PROFESSIONAL
CERTIFICATION
12.1. EDUCATION AND TRAINING REQUIREMENTS.
a. General. Training on security responsibilities is an integral part of the DoD PSP and is
essential to its efficient functioning.
b. Education and Training Programs.
(1) Security education and training programs are required for DoD security professionals
and other personnel performing security duties on the procedures necessary to protect
information and on the personnel security process. Training topics include: JPAS and e-QIP,
orientation, indoctrination, initial briefings, refresher briefings, debriefings, termination
briefings, travel briefings, foreign contact briefings, and intelligence threat briefings.
(2) For assistance in meeting security education and training program requirements, visit
the DSS Center for Development of Security Excellence (CDSE) website at
http://www.cdse.edu. The CDSE website includes personnel security courses, job aids, reference
guides, and webinars addressing the security clearance process, JPAS, e-QIP, and various
“security shorts.”
c. Initial Briefing. All personnel with national security eligibility will be given an initial
security briefing that is compliant with the requirements of E.O. 12968; Volume 3 of DoDM
5200.01; and the February 9, 1999 Office of the Assistant Secretary of Defense, Command,
Control, Communications and Intelligence Memorandum, before gaining access to classified
information. All individuals will execute the appropriate nondisclosure forms in accordance
with Section 552 of Title 5, U.S.C. If individuals decline to execute the nondisclosure forms, the
DoD Component will withhold classified access and report the refusal to the adjudication
facility. DoD Components will maintain records of all initial briefings.
d. Refresher Briefing. Personnel with national security eligibility will receive annual
refresher security training in accordance with DoDM 5200.01. Security education should be on a
continuing basis, taking into account each person’s duties, experience, and past conduct
involving the protection of classified or sensitive information. DoD Components will maintain
records of all refresher training conducted.
e. Insider Threat Briefing. Insider threat awareness will be incorporated into security
training in accordance with DoDD 5240.06 and DoDI 5240.26.
f. Termination Briefing.
(1) Service members, federal civilian employees, and contract employees will be given a
termination briefing in accordance with DoDM 5200.01 upon termination of employment,
withdrawal of national security eligibility, or other absence that excludes an individual from CE
authorizations and will complete a security termination statement or, for SCI access, the Security
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Debriefing Acknowledgement and Debrief blocks on the reverse of DD Form 4414, “Sensitive
Compartmented Information Nondisclosure Agreement” found at
http://www.dtic.mil/whs/directives/forms/index.htm.
(2) When an individual refuses to execute a General Services Administration Form 3162,
“Security Termination Statement,” every effort will be made to debrief the individual orally.
Report the refusal to sign immediately to the security professional of the cognizant organization,
to the supporting adjudication facility, and record in JPAS.
(3) When individuals are unable to execute a Security Termination Statement (e.g.,
death, incapacitation, could not be located), make a notation reflecting the individual’s status on
the Security Termination Statement, report to the supporting adjudication facility, and record in
JPAS.
12.2. APC PROGRAM.
a. The DoD objective is to ensure all DoD personnel security adjudicators are trained, fully
qualified, and certified to perform their critical duties as prescribed in the January 28,
2014USD(I) Memorandum.
b. The APC Program will certify DoD and DoD IC personnel security adjudicators have
demonstrated mastery of essential adjudicative competencies related to determining the national
security eligibility of a government employee, Service member, defense contractor employee, or
other affiliated person.
c. Adjudicators will be certified to perform all adjudicative functions except due process
determinations, as detailed in Section7 of this manual. If adjudicators are required to make due
process determinations, an additional due process credential is required before performing the
function.
d. DoD CAF and DoD IC central adjudication facilities directors experiencing a critical
shortage of certified adjudicators may request approval of a risk management plan for non-
certified adjudicators to perform final adjudications before certification, pursuant to requirements
contained in the April 10, 2009 USD(I) Memorandum. The risk management plan must be
endorsed by the adjudication facility Component head and approved by OUSD(I&S) Security
Policy and Oversight Director before implementation.
e. Information on the APC governance, organization, eligibility, and requirements for
certification maintenance may be reviewed at the DSS CDSE website, available at
http://www.cdse.edu/.
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GLOSSARY 76
GLOSSARY
G.1. ACRONYMS.
AJ administrative judge
ANACI Access National Agency Check and Inquiries
APC Adjudicator Professional Certification
CATS Case Adjudication Tracking System
CDSE Center for Development of Security Excellence
CE continuous evaluation
CI counterintelligence
CMO Chief Management Officer of the Department of Defense
COMSEC communications security
CSA cognizant security agency
DDI(I&S) Director of Defense Intelligence for Intelligence and Security
DIA Defense Intelligence Agency
DIRNSA/CHCSS Director, National Security Agency/Chief, Central Security Service
DNI Director of National Intelligence
DoD CAF DoD Consolidated Adjudications Facility
DoDD DoD directive
DoDHRA DoD Human Resources Activity
DoDI DoD instruction
DoDM DoD manual
DOE Department of Energy
DOHA Defense Office of Hearings and Appeals
DOS Department of State
DSS Defense Security Service
E.O. Executive order
e-adjudication electronic adjudication
e-application electronic application
e-QIP electronic questionnaire for investigations processing
FBI Federal Bureau of Investigation
FIS Federal Investigative Standards
GO/FO general or flag officer
GC DoD General Counsel Department of Defense
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GLOSSARY 77
IC Intelligence Community
ISP investigative service provider
JPAS Joint Personnel Adjudication System
LAA limited access authorization
LOD letter of denial
LOI letter of intent
LOR letter of revocation
MDCO Military Department CI organizations
NACLC National Agency Check with Law and Credit
NATO North Atlantic Treaty Organization
NGA National Geospatial-Intelligence Agency
NISP National Industrial Security Program
NOIA notice of intent to appeal
NRO National Reconnaissance Office
OPM U.S. Office of Personnel Management
OUSD(I&S) Office of the Under Secretary of Defense for Intelligence and Security
POC point of contact
PPR phased periodic reinvestigation
PR periodic reinvestigation
PSAB Personnel Security Appeal Board
PSI personnel security investigation
PSP personnel security program
RD restricted data
SAP special access program
SCI sensitive compartmented information
SecEA Security Executive Agent
SF standard form
SOI security office indicator
SON submitting office number
SOR statement of reasons
SORN system of record notice
SPēD Security Professional Education Development Program
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SSBI
Single Scope Background Investigation
SSBI-PR
Single Scope Background Investigation – Periodic Reinvestigation
TS
Top Secret
U.S.C.
United States Code
USCIS
United States Citizenship and Immigration Service
USD(AT&L)
Under Secretary of Defense for Acquisition, Technology, and Logistics
USD(I)
Under Secretary of Defense for Intelligence
USD(I&S)
Under Secretary of Defense for Intelligence and Security
USD(P&R)
Under Secretary of Defense for Personnel and Readiness
USO
United Service Organizations
VTC
video teleconference
WHS
Washington Headquarters Services
WWSIIP
Wounded Warrior Security and Intelligence Internship Program
G.2. DEFINITIONS. Unless otherwise noted, these terms and their definitions are for the
purpose of this issuance.
access. The ability and opportunity to obtain knowledge of national security information. An
individual may have access to national security information by being in a place where such
information is kept, if the security measures that are in force do not prevent the individual from
gaining knowledge of such information.
adjudication. Defined in E.O. 13467.
adjudicative guidelines. Guidelines established for determining eligibility for access to
classified information.
adjudicator authority. Adjudicators with the authority to grant, suspend, deny, or revoke SCI
eligibility concurrently grant, suspend, deny, or revoke associated collateral eligibility unless the
collateral is held by the individual’s own organization. Adjudicators with the authority to grant,
suspend, deny, or revoke TS eligibility concurrently grant, suspend, deny, or revoke Secret and
Confidential eligibility.
adjudication facility. A facility with assigned adjudicators certified to evaluate PSIs and other
relevant information to determine if granting or continuing national security eligibility is clearly
consistent with the interests of national security. The DoD consolidated adjudications facility is
known as the DoD CAF.
agency. Defined in DoDM 5200.22.
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calendar day. Monday through Sunday.
CATS. The DoD system of record for non-IC agencies case management and adjudications.
CE. Defined in DoDM 5200.22.
CI. Information gathered and activities conducted to identify, deceive, exploit, disrupt, or
protect against espionage, other intelligence activities, sabotage, or assassinations conducted for
or on behalf of foreign powers, organizations, or persons, or their agents, or international terrorist
organizations or activities.
classified information. Defined in E.O. 13467 .
cohabitant. A person with whom an individual resides and shares bonds of affection,
obligation, or other commitment, as opposed to a person with whom an individual resides for
reasons for convenience (e.g., a roommate).
collateral eligibility. TS, Secret, or Confidential levels of eligibility.
commander. Heads of DoD Components, Defense Agencies, DoD Field Activities, and all
other entities within the DoD headed by personnel specifically assigned to command positions
within organizations.
conclusive. Serving to settle or decide a question; decisive; convincing. The decision cannot be
appealed to a higher authority.
condition. See “exception.”
contractor. Defined in E.O. 13467.
controlled substance. Any drug, material, or other chemical compound identified and listed in
DNI Memorandum ES 2014-00674.
controlled unclassified information. Defined in DoDM 5200.01.
current. An investigation that is no more than 5 years old. If JPAS reflects an open
investigation, or a pending adjudication not more than 1 year beyond the 5 year anniversary date,
the investigation is considered current.
CSA. Defined in DoD 5220.22-M.
damage to the national security. Harm to the national defense or foreign relations of the
United States from the unauthorized disclosure of information, taking into consideration such
aspects of the information as the sensitivity, value, utility, and provenance of that information, or
other breach of security responsibilities by personnel serving in national security positions.
derogatory information. Information that reflects on the integrity or character of an individual,
or circumstances that suggests that their ability to safeguard national security information may be
impaired, that their access to classified or sensitive information clearly may not be in the best
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interest of national security, or that their activity may be in conflict with the personnel security
standards or adjudicative guidelines.
deviation. See “exception.”
due process. An established administrative process designed to ensure the fair and impartial
adjudication of facts and circumstances when an unfavorable national security eligibility
determination is being considered. The process is offered to individuals before a final
unfavorable determination of national security eligibility is made.
eligibility determination. The decision to grant eligibility for access to classified information or
performance of national security duties.
employee. Defined in E.O. 12968.
e-adjudication. Automated adjudication, also referred to as electronic adjudication.
e-application. A web-based tool for self-reporting biographic details, declarations,
clarifications, and mitigating information necessary to conduct investigations. The e-QIP is the
current e-application used within DoD.
e-QIP. A secure web-based automated system that facilitates timely and accurate processing of
investigation requests to OPM. Agencies authorize applicants to access the system to enter data
and documents required for the investigation; the system collects information from the applicant
based on the appropriate investigative questionnaire.
exception. An adjudicative decision to grant or continue access eligibility despite a failure to
meet adjudicative or investigative standards. For purposes of reciprocity, the presence of an
exception permits the gaining organization or program to review the case before assuming
security sponsorship and to accept or decline sponsorship based on that review. When accepting
sponsorship, the gaining organization or program will ensure that the exception remains a matter
of record. There are three types of exceptions:
condition. Access eligibility granted or continued with the proviso that one or more
additional measures will be required. Such measures include additional security monitoring,
restrictions on access, and restrictions on an individual’s handling of classified information.
deviation. Access eligibility granted or continued despite a significant gap in coverage or
scope in the supporting background investigation. “Significant gap” for this purpose means
either complete lack of coverage for a period of 6 months or more within the most recent 5 years
investigated or the lack of an FBI name check or an FBI fingerprint check or the lack of one or
more investigative scope requirements in its entirety (e.g., the total absence of local agencies
checks within an investigation would constitute a deviation, but the absence of local agencies
checks for some but not all places of residence would not constitute a deviation).
waiver. Access eligibility granted or continued despite the presence of substantial issue
information that would normally preclude access. “Substantial issue information” for this
purpose means information in the individual’s history that does not meet the standards of
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GLOSSARY 81
national security adjudicative guidelines in the August 30, 2006 USD(I) Memorandum. DoD
Component heads may approve waivers only when the benefit of access clearly outweighs any
security concern raised by the shortcoming. A waiver may require special limitations on access,
additional security monitoring, and other restrictions beyond normal need-to-know on the
person’s handling of classified information.
exceptionally grave damage. The capacity to cause extremely serious harm.
foreign intelligence entity. Defined in DoDD 5240.06.
foreign national. Defined in the DoD Dictionary of Military and Associated Terms.
IC. Defined in the DoD Dictionary of Military and Associated Terms.
illegal drug. “A controlled substance included in Schedule I or II, as defined by Section 802(6)
of E.O. 12564.
inestimable damage. The capacity for harm too severe to be computed or measured.
inherently governmental. Defined in the Federal Acquisition Regulation.
investigative record. The official record of all data obtained on the individual from trusted
ISPs, from suitability or security applications and questionnaires, and any investigative activity
conducted in accordance with the December 13, 2008 DNI and OPM Memorandum.
Investigation Service Provider (ISP). A federal agency or federal contract agency that
conducts PSIs for the DoD.
issue information. Any information that could adversely affect a person’s national security
eligibility.
JPAS. The DoD system of record for personnel security adjudication, clearance, verification,
and history. The term applies not only to this system but to any successor DoD personnel
security system of record. JPAS has two applications. The Joint Adjudication Management
System and the Joint Clearance and Access Verification System. Joint Adjudication
Management System is the application that supports central adjudication facilities personnel and
provides capabilities and data such as case management and distribution, adjudication history,
due process history, revocations and denial action information. Joint Clearance and Access
Verification System is the application that supports command security personnel and provides
capabilities and data such as local access record capabilities, debriefings, incident file reports and
eligibility data, and security management reports.
LAA. Authorization for access to confidential or secret information granted to non-U.S. citizens
and immigrant aliens, limited to only that information determined releasable by a U.S.
Government designated disclosure authority to the country of which the individual is a citizen, in
accordance with DoDD 5230.11. Access is necessary for the performance of the individual’s
assigned duties with the military or a federal agency and is based on favorable adjudication of a
10-year scope SSBI or its equivalent under the FIS.
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GLOSSARY 82
MDCO. Defined in DoDD 5240.06.
mentally incompetent. An individual who has been declared mentally incompetent as
determined by competency proceedings conducted in a court or administrative agency with
proper jurisdiction.
meritorious waiver. A determination made by authorized adjudicators that an individual
meeting the criteria of the Bond Amendment has sufficiently explained, refuted, or mitigated the
potential disqualifiers as to be deemed eligible for access to classified information.
national security. The national defense or foreign relations of the United States. National
security includes defense against transnational terrorism.
national security duties. Duties performed by individuals working for or, on behalf of, the
Federal Government that are concerned with the protection of the United States from foreign
aggression or espionage, including development of defense plans or policies, intelligence or CI
activities, and related activities concerned with the preservation of the military strength of the
United States, including duties that require eligibility for access to classified information in
accordance with E.O. 12968 .
national security eligibility. The status that results from a formal determination by an
adjudication facility that a person meets the personnel security requirements for access to
classified information or to occupy a national security position or one requiring the performance
of national security duties.
national security information. Information that has been determined, pursuant to E.O. 13526,
to require protection against unauthorized disclosure and is so marked when in documentary
form.
national security position. Defined in DoDI 5200.02.
need to know. A determination made by a possessor of classified information that a prospective
recipient, in the interest of the national security, has a requirement for access to, knowledge of,
or possession of the classified information in order to perform tasks or services essential to the
fulfillment of an official U.S. Government program. Knowledge of, possession of, or access to,
classified information will not be afforded to any individual solely by virtue of the individual’s
office, position, or security eligibility.
NISP. The program established by DoDM 5200.01 to safeguard Federal Government classified
information that is released to contractors, licensees, and grantees of the United States
Government as the single, integrated, cohesive industrial security program to protect classified
information and to preserve our Nation’s economic and technological interests, as governed by
U.S. Office of Personnel Management Booklet and E.O. 10865.
personnel security. Defined in the June 13, 2013 Deputy Under Secretary of Defense for
Intelligence and Security Memorandum.
DoDM 5200.02, April 3, 2017
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GLOSSARY 83
position designation. The assessment of the potential for adverse impact on the integrity and
efficiency of the service, and the degree to which, by the nature of the civilian position, the
occupant could bring about a material adverse effect on the national security.
PPR. A periodic reinvestigation which excludes select investigative leads when no information
of security concern is developed by the required investigative source as prescribed in the Office
of Personnel Management Federal Investigative notice No. 05-04. A periodic reinvestigation
conducted in phases, in which the key investigative elements yielding the greatest amounts of
issue information are conducted first. The second phase of the investigation is run only if issue
information results from the first phase.
PR. A national security investigation conducted to update a previously completed investigation
on persons holding a national security position or performing national security duties to
determine whether that individual continues to meet national security requirements.
PSAB. A three-member panel of senior level personnel authorized to make final national
security eligibility determinations that have been appealed by subjects of national security
investigations.
PSI. Any investigation required for the purpose of determining the eligibility of DoD military
and civilian personnel, contractor employees, consultants, and other persons affiliated with the
DoD for access to classified information, acceptance or retention in the Military Departments,
assignment or retention in sensitive duties, or other designated duties requiring such
investigation. It also includes investigations of allegations that arise subsequent to adjudicative
action and require resolution to determine an individual’s current eligibility for a national
security position.
public trust. Defined in Federal Investigative Standards.
referral. Notification of commanders, security officers, and CAFs when relevant, and material
derogatory information concerning an individual who has been granted national security
eligibility is developed or otherwise becomes available to any DoD element.
reportable behavior. Acts by persons with favorable national security eligibility determinations
that may not be consistent with the interests of national security.
SAP. Defined in the DoD Dictionary of Military and Associated Terms.
SCI. Classified information concerning or derived from intelligence sources, methods, or
analytical process that is required to be handled within a formal access control system
established by the DNI.
scope. The time period to be covered and the sources of information to be contacted during the
prescribed course of a national security investigation.
SecEA. The DNI is the U.S. Government national authority responsible for developing uniform
and consistent policies and procedures to ensure the effective, efficient, and timely completion of
national security investigations and adjudications relating to determinations of eligibility for
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GLOSSARY 84
access to classified information or eligibility to hold a sensitive position, as well as other security
duties as delineated in E.O. 13467.
security clearance. A personnel security determination by competent authority that an
individual is eligible for access to national security information, under the standards of this
manual. Also called a clearance. The individual must have both eligibility and access to have a
security clearance. Eligibility is granted by the central adjudication facilities, and the access is
granted by the individual agencies.
security incident. Defined in Title 50, U.S.C.
security professional. U.S. Government military or civilian personnel (including but not limited
to security managers and special security officers) whose duties involve managing or processing
personnel security actions relating to the DoD PSP.
sensitive position. Any position so designated by the head of any department or DoD
Component in accordance with E.O. 10450.
SON. A number that identifies the office that initiates the investigation and is recorded in the
appropriate ‘Agency Use’ block of the investigative form. The SON is issued by OPM after
authorization by the Office of the DDI(I&S).
SPēD. The SPēD Program is part of the DoD initiative to professionalize the security workforce.
This initiative is intended to ensure that there is a common set of competencies among security
practitioners that promotes interoperability, facilitates professional development and training,
and develops a workforce of certified security professionals.
SF 86. The standard form that the DoD uses for most national security background
investigations. The automated version of the SF 86 is the e-QIP. As used in this manual,
includes SF 86C and related forms.
supporting counterintelligence organization. The MDCO, as defined in DoDD 5240.06,
supports CI issues involving military and civilian personnel. CI issues involving contractor
personnel are referred to the FBI.
unfavorable national security determination. A denial or revocation of eligibility for access
to classified information and or to occupy a sensitive position.
valid passport. A passport that is current (i.e., has not expired and has not been cancelled or
revoked).
waiver. See “exception.”
DoDM 5200.02, April 3, 2017
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REFERENCES 85
REFERENCES
Deputy Secretary of Defense Memorandum, “Defense Security Service (DSS) Future Options
Study Recommendations,” January 15, 2009
1
Deputy Secretary of Defense Memorandum, “DoD Central Adjudications Facilities (CAF)
Consolidation,” October 20, 2010
1
Deputy Under Secretary of Defense for Counterintelligence and Security Memorandum,
“Personnel Security Issues,” January 8, 2004
1
Deputy Under Secretary of Defense for Intelligence and Security Memorandum, “DoD Security
Lexicon,” June 13, 2013
Director of National Intelligence Memorandum ES 2014-00674, “Adherence to Federal Laws
Prohibiting Marijuana Use,” October 25, 2014
1
Director of National Intelligence Memorandum, “Delegation of Authority for the Director of
Administration and Management to Determine Sensitive Compartmented Information
Eligibility at the Department of Defense Consolidated Central Adjudication Facility,”
October 22, 2012
1
DoD 3305.13-M, “DoD Security Accreditation and Certification,” March 14, 2011, as amended
DoD 5220.22-M, “National Industrial Security Program Operating Manual,” February 28, 2006,
as amended
DoD 5400.11-R, “Department of Defense Privacy Program,” May 14, 2007
DoD 7000.14-R, “Department of Defense Financial Management Regulation: Accounting Policy
and Procedures,” current edition
DoD Directive 3700.01, “DoD Command and Control (C2) Enabling Capabilities,”
October 22, 2014, as amended
DoD Directive 5100.55, “United States Security Authority for North Atlantic Treaty
Organization Affairs (USSAN),” February 27, 2006
DoD Directive 5105.42, “Defense Security Service (DSS)” August 3, 2010, as amended
DoD Directive 5143.01, “Under Secretary of Defense for Intelligence and Security
(USD(I&S)),” October 24, 2014, as amended
DoD Directive 5205.07, “Special Access Program (SAP) Policy,” July 1, 2010, as amended
DoD Directive 5210.48, “Credibility Assessment (CA) Program,” April 24, 2015, as amended
DoD Directive 5220.6, “Defense Industrial Personnel Security Clearance Review Program,”
January 2, 1992, as amended
DoD Directive 5230.11, “Disclosure of Classified Military Information to Foreign Governments
and International Organizations,” June 16, 1992
DoD Directive 5240.02, “Counterintelligence (CI),” March 17, 2015, as amended
1
Available from the Security Policy and Oversight Division, Office of the Director for Defense Intelligence,
Intelligence and Security
DoDM 5200.02, April 3, 2017
Change 1, October 29, 2020
REFERENCES 86
DoD Directive 5240.06, “Counterintelligence Awareness and Reporting (CIAR),” May 17, 2011,
as amended
DoD Instruction 3305.13, “DoD Security Education, Training, and Certification”
February 13, 2014, as amended
DoD Instruction 5145.03, “Oversight of the DoD Personnel Security Programs,”
January 10, 2013, as amended
DoD Instruction 5200.02, “DoD Personnel Security Program,” March 21, 2014, as amended
DoD Instruction 5200.39, “Critical Program Information (CPI) Protection Research,
Development, Test, and Evaluation (RDT&E)”, May 28, 2015, as amended
DoD Instruction 5200.48, “Controlled Unclassified Information (CUI),” March 6, 2020
DoD Instruction 5210.02, “Access to and Dissemination of Restricted Data and Formerly
Restricted Data,” June 3, 2011, as amended
DoD Instruction 5210.45, “Personnel Security Policies and Procedures for Sensitive Cryptologic
Information in the National Security Agency/Central Security Service,” November 14, 2008,
as amended
DoD Instruction 5210.91, “Polygraph and Credibility Assessment (PCA) Procedures,”
August 12, 2010, as amended
DoD Instruction 5220.22, “National Industrial Security Program (NISP),” March 18, 2011, as
amended
DoD Instruction 5240.26, “Countering Espionage, International Terrorism, and the
Counterintelligence (CI) Insider Threat,” May 4, 2012, as amended
DoD Instruction 5505.07, “Titling and Indexing in Criminal Investigations,” February 28, 2018
DoD Instruction 5505.16, “Investigations by DoD Components,” June 23, 2017
DoD Instruction 6490.08, “Command Notification Requirements to Dispell Stigma in Providing
Mental Health Care to Service Members,” August 17, 2011
DoD Instruction 8500.01, “Cybersecurity,” March 14, 2014, as amended
DoD Instruction O-2000.16, Volume1, “DoD Antiterrorism (AT) Program Implementation: DoD
AT Standards,” November 17, 2016, as amended
DoD Manual 5105.21, Volume 3, “Sensitive Compartmented Information (SCI) Administrative
Security Manual: Administration of Personnel Security, Industrial Security, and Special
Activities,” October 19, 2012, as amended
DoD Manual 5200.01, Volume 1, “DoD Information Security Program: Overview,
Classification, and Declassification,” February 24, 2012, as amended
DoD Manual 5200.01, Volume 3, “DoD Information Security Program: Protection of Classified
Information,” February 24, 2012, as amended
DoD Manual 5220.22, Volume 2, “National Industrial Security Program: Industrial Security
Procedures for Government Activities,” August 1, 2018, as amended
DoD Manual 5220.22, Volume 3, “National Industrial Security Program: Procedures for
Government Activities Relating to Foreign Ownership, Control, or Influence (FOCI),”
April 17, 2014, as amended
DoD Manual 5400.07, “DoD Freedom of Information Act (FOIA) Program,” January 25, 2017
DoDM 5200.02, April 3, 2017
Change 1, October 29, 2020
REFERENCES 87
DoD Manual 8910.01, Volume 1, “DoD Information Collections Manual: Procedures for DoD
Internal Information Collections,” June 30, 2014, as amended
Executive Order 10450, “Security Requirements for Government Employment,” April 27, 1953,
as amended
Executive Order 10865, “Safeguarding Classified Information Within Industry,”
February 20, 1960
Executive Order 12564, “Drug-free Federal Workplace,” September 15, 1986
Executive Order 12829, “National Industrial Security Program,” January 6, 1993, as amended
Executive Order 12968, “Access to Classified Information,” August 2, 1995, as amended
Executive Order 13467, “Reforming Processes Related to Suitability for Government
Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified
National Security Information,” June 30, 2008
Executive Order 13526, “Classified National Security Information,” December 29, 2009
Executive Order 13549, “Classified National Security Information Program for State, Local,
Tribal, and Private Sector Entities,” August 18, 2010
Federal Acquisition Regulation, current edition
Federal Investigative Standards, December 14, 2012
Intelligence Community Directive 704, “Personnel Security Standards and Procedures
Governing Eligibility for Access to Sensitive Compartmented Information and Other
Controlled Access Program Information,” October 2, 2008
Intelligence Community Policy Guidance number 704.1, “Personnel Security Investigative
Standards and Procedures Governing Eligibility for Access to Sensitive Compartmented
Information and Other Controlled Access Program Information,” October 2, 2008
Intelligence Community Policy Guidance number 704.2, “Personnel Security Adjudicative
Guidelines for Determining Eligibility for Access to Sensitive Compartmented Information
and Other Controlled Access Program Information,” October 2, 2008
Intelligence Community Policy Guidance number 704.3, “Denial or Revocation of Access to
Sensitive Compartmented Information, Other Controlled Access Program Information, and
Appeals Processes,” October 2, 2008
Intelligence Community Policy Guidance number 704.4, “Reciprocity of Personnel Security
Clearance and Access Determinations,” October 2, 2008
Intelligence Community Policy Guidance number 704.5, “Intelligence Community Personnel
Security Database Scattered Castles,” October 2, 2008
Memorandum of Agreement Among Defense Security Service, Defense Human Resources
Activity’s Defense Manpower Data Center, Deputy Under Secretary of Defense (HUMINT,
Counterintelligence, and Security) and Deputy Under Secretary of Defense (Program
Integration), February 2, 2010
1
DoDM 5200.02, April 3, 2017
Change 1, October 29, 2020
REFERENCES 88
Office of Management and Budget Memorandum M-06-21, “Reciprocal Recognition of Existing
Personnel Security Clearances,” July 17, 2006
2
Office of Management and Budget Memorandum, “Reciprocal Recognition of Existing
Personnel Security Clearances,” December 12, 2005
2
Office of Management and Budget Memorandum, “Reciprocal Recognition of Existing
Personnel Security Clearances,” November 14, 2007
2
Office of the Assistant Secretary of Defense, Command, Control, Communications, and
Intelligence Memorandum, “Personal Attestations Upon the Granting of Security Access,”
February 9, 1999
1
Office of the Chairman of the Joint Chiefs of Staff, “DoD Dictionary of Military and Associated
Terms,” current edition
Office of the Director of National Intelligence and the U.S. Office of Personnel, Management,
“Approval of the Federal Investigative Standards,” December 13, 2008
3
Presidential Memorandum on the National Insider Threat Policy and Minimum Standards for
Executive Branch Insider Threat Program, November 21, 2012
Presidential Policy Directive/PPD-19, “Protecting Whistleblowers with Access to Classified
Information,” October 10, 2012
Principal Deputy Under Secretary of Defense for Intelligence and the Administrative Assistant to
the Secretary of the Air Force, “Memorandum of Agreement Concerning Transfer of
Department of Defense Personnel Security Investigation Billing Function From the Defense
Security Service to the Department of the Air Force,” August 6, 2009
1
Public Law 116-92, “National Defense Authorization Act for Fiscal Year 2020,”
December 20, 2019
The White House Memorandum, “Adjudicative Guidelines,” December 29, 2005
U.S. Office of Personnel Management Booklet, “Requesting OPM Personnel Investigations,”
(also known as “INV 15”)
4
U.S. Office of Personnel Management Federal Investigations Notice Number 97-02, “Executive
Order 12968 and Investigative Standards for Background Investigations for Access to
Classified Information,” July 29, 1997
5
U.S. Office of Personnel Management Federal Investigative notice No. 05-04, “Reinvestigation
Products for Positions Requiring Q, Top Secret or SCI Access,” September 16, 2005
Under Secretary of Defense for Intelligence Memorandum, “Adjudicating Incomplete Personnel
Security Investigations,” March 10, 2010
1
2
Available at http://www.ncix.gov/SEA/reciprocity/policy.php
3
Available to authorized users at
https://www.intelink.gov/sites/jrt/Shared%20Documents/Federal%20Investigative%20Standards%20Final.pdf
4
Available at http://222.opm.gov/investigations/background-investigations/reference/inv-15-requesting-opm-
personnel-investigations/
5
Available at http://www.opm.gov/investigate/archive/1997/fin9702.asp
DoDM 5200.02, April 3, 2017
Change 1, October 29, 2020
REFERENCES 89
Under Secretary of Defense for Intelligence Memorandum, “Authority to Suspend Contractor
Personnel Security Clearances,” May 13, 2009
1
Under Secretary of Defense for Intelligence Memorandum, “Compartmented Program
Collaboration, Reciprocity, and Oversight,” August 9, 2011
1
Under Secretary of Defense for Intelligence Memorandum, “Designation of the DoD Case
Management and Adjudication Systems,” April 10, 2009
1
Under Secretary of Defense for Intelligence Memorandum, “DoD Personnel Security
Adjudicator Professional Certification Program,” January 28, 2014
1
Under Secretary of Defense for Intelligence Memorandum, “Implementation of Adjudicative
Guidelines for Determining Eligibility for Access to Classified Information,”
August 30, 2006
1
Under Secretary of Defense for Intelligence Memorandum, “Implementation of the Rapid
Assessment of Incomplete Security Evaluations (RAISE),” July 13, 2010
1
Under Secretary of Defense for Intelligence Memorandum, “Personnel Security Clearance
Adjudication Documentation,” November 8, 2009
1
Under Secretary of Defense for Intelligence Memorandum, “Review of the Adjudication
Documentation, Accuracy and Rationales (RADAR) Assessments,” August 31, 2010
1
Under Secretary of Defense for Intelligence Memorandum, “Special Access Program
Nomination Process,” May 20, 2013
1
Under Secretary of Defense for Personnel and Readiness Memorandum, “Implementation of the
Position Designation Automated Tool,” May 10, 2011
1
United States Code, Title 5
United States Code, Title 18
United States Code. Title 21
United States Code. Title 50
