Atch_56_AFI_31-501_Prsnl_Security_Pgm_Mgmt.pdf

DEPARTMENT OF THE AIR FORCE

HEADQUARTERS UNITED STATES AIR FORCE

WASHINGTON, DC

AFI31-501_AFGM2015-01

20 November 2015

MEMORANDUM FOR DISTRIBUTION C

MAJCOMs/FOAs/DRUs

FROM: SAF/AA

SUBJECT: Air Force Guidance Memorandum to AFI 31-501, Personnel Security Program Management

By Order of the Secretary of the Air Force, this Air Force Guidance Memorandum immediately changes AFI 31-501. Compliance with this Memorandum is mandatory. To the extent its directions are inconsistent with other Air Force Publications, the information herein prevails, in accordance with AFI 33-360, Publications and Forms Management.

The OPR for this publication is SAF/AAZ. In advance of a rewrite of AFI 31-501, the Attachment to this Memorandum is updated to provide guidance changes that are effective immediately.

This Memorandum becomes void after 1 year has elapsed from the date of this Memorandum, or upon incorporation by interim change to, or rewrite of AFI 31-501, whichever is earlier.

PATRICIA ZARODKIEWICZ

Administrative Assistant

Attachment:

Guidance Changes

AFI31-501_AFGM2015-01

ATTACHMENT

Guidance Changes

The below changes to AFI 31-501, dated 27 Jan 2005, are effective immediately.

Change Publication OPR to SAF/AAZ

(Replace Existing) 8.6.7.1. Appeal Without a Personal Appearance. Individuals directly notify the PSAB of their intent to appeal without a personal appearance within 10 days of receipt of the letter of denial/revocation. Address requests to: President, Personnel Security Appeal Board, SAF/MRBB, 1500 West Perimeter Road, Suite 3700, Joint Base Andrews 20762. Individuals send their appeals to the President of the PSAB within 40 days of receipt of the letter of denial/revocation.

(Replace Existing) 8.6.7.2. Appeal with a Personal Appearance. Individuals will have 10 days upon receipt of the Letters of Denial/Revocation (LOD/R) to forward the Notice of Intent to Appeal (NOIA) directly to the Personnel Security Appeal Board (PSAB) to notify of their intent to appeal with a personal appearance with the Defense Office of Hearings and Appeals (DOHA).

The PSAB will notify the Consolidated Adjudication Facility (CAF) and DOHA of intent to appeal. The CAF will provide the individual’s case file to DOHA within 10 days of PSAB request. A DOHA Administrative Judge (AJ) will hear the individual’s case and forward the file, transcripts, any documentation obtained from the individual and a recommendation to sustain or overturn the letter of denial/revocation to the PSAB. The deadline for this is 30 days after the personal appearance. The AJ provides the PSAB with a copy of the recommendation.

(Replace Existing) A2.7.2. An authorized requestor will initiate a Secret Periodic Reinvestigation (PR) not earlier than 60 days prior to the anniversary date of the current investigation. Questionnaire must cover the most recent 10-year period or the period since the last investigation.

(Replace Existing) A2.7.3. An authorized requester will initiate a Top Secret PR not earlier than 60 days prior to the anniversary data of the current investigation.

(Replace Existing) A5.1.1.1. The Assistant Secretary of the Air Force, Manpower & Reserve Affairs (SAF/MR) has oversight of the PSAB.

(Replace Existing) A5.1.1.2.2. The PSAB is comprised of three members. Board members may serve on the PSAB as either a permanent or collateral duty. All PSAB members will be appointed by the Director, Air Force Review Boards Agency.

(Replace Existing) A5.1.1.2.3. At least one of the three members of the PSAB will be a permanent board member and serve as the PSAB president. The PSAB president should have a thorough knowledge of and experience in the field of personnel security. Not more than one board member shall be from the security career field and access to medical and legal counsel will be available to the board. The board president will ensure all members are briefed on and familiar with the personnel security clearance eligibility process.

(Replace Existing) A5.1.1.2.5. The President executes board responsibilities as outlined in DoD 5200.2-R, Appendix 12 and this AFI.

(Add New) A5.1.1.2.8. The PSAB shall maintain a redacted file of decision memoranda which will be subject to review in accordance with the Freedom of Information Act. DoD 5400.7-R, AFMAN 33-302 applies when requests for information are received.

(Replace Existing) A5.1.1.3.2. Forwards the appeal case file to the PSAB President to include a case summary (if available) on all cases to assist the board member’s review.

(Delete) A5.1.1.3.3.

(Replace Existing) A5.1.1.3.5. Updates appropriate database(s)

(Delete) A5.1.1.3.6.

(Delete) A5.1.1.3.7.

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

AIR FORCE INSTRUCTION 31-501

27 JANUARY 2005

Incorporating Through Change 2, 29 November 2012

Security

PERSONNEL SECURITY PROGRAM

MANAGEMENT

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available on the e-Publishing website at www.e-publishing.af.mil for downloading or ordering.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: HQ USAF/XOFI

Supersedes: AFI31-501, 1 August 2000

Certified by: HQ USAF/XOF

(Brig Gen James M. Shamess)

Pages: 127

This instruction implements Air Force Policy Directive (AFPD) 315, Personnel Security

Program Policy. It provides guidance for personnel security investigations and clearance needs.

Use this instruction with Department of Defense (DOD) Regulation 5200.2-R, DOD Personnel

Security Program, January 1987, and Executive Order 12968 ―Access to Classified

Information.‖

SUMMARY OF CHANGES

This interim change implements new guideline at Paragraph 3.16 for processing requests for access by retired general officers of civilian equivalents. A margin bar (|) indicates newly revised material.

Chapter 1—GENERAL PROVISIONS 7

1.1. Purpose

1.2. Applicability

1.3. Definitions

1.4. Records Management

Chapter 2—POLICIES 8

2.1. Clearance and Sensitive Position Standard

http://www.e-publishing.af.mil/

2 AFI31-501 27 JANUARY 2005

2.2. Military Service Standard

2.3. Criteria for Application of Security Standards

2.4. Types and Scope of Personnel Security Investigations

2.5. Authorized Personnel Security Investigation Provider

2.6. Allegations of Criminal Activity

2.7. Overseas Personnel Security Investigations

2.8. Limitations and Restrictions

Chapter 3—SECURITY CLEARANCE 10

3.1. Authority to Designate Sensitive Positions

3.2. Nonsensitive Positions

3.3. Reassignment to a Noncritical Sensitive Position

3.4. Reassignment to a Critical Sensitive Position

3.5. PRs for Critical Sensitive and Noncritical Sensitive Positions

3.6. Pre-employment Waivers

3.7. Mobilization of DOD Civilian Retirees

3.8. Military Appointment, Enlistment, and Induction

3.9. Mobilization of Military Retirees

3.10. Security Clearance Authority

3.11. Interim Security Clearances

3.12. Access to Classified Information by Non-US Citizens

3.13. Access by Persons Outside the Executive Branch

3.14. Access by Different Categories of Individuals

3.15. One Time Access

3.16. Granting Access to Retired General Officers or Civilian Equivalents and Former

Presidential Appointees

3.17. Processing Requests for Access by Historical Researchers

3.18. Sensitive Compartmented Information

3.19. Single Integrated Operational Plan-Extremely Sensitive Information

3.20. Presidential Support Activities

3.21. Nuclear Weapons Personnel Reliability Program

3.22. Access to North Atlantic Treaty Organization Classified Information

3.23. Special Access Program

AFI31-501 27 JANUARY 2005 3

3.24. Processing Requests for Access to Restricted Areas, Sensitive Information or

Equipment Not Involving Access to Classified Information

3.25. Nonappropriated Fund Employees

3.26. Special Agents and Investigative Support Personnel

3.27. Personnel Occupying Information Systems Positions Designated Auto mated

Information Systems, AIS-I, AIS-II, and AIS-III (formerly ADP positions)

3.28. Periodic Reinvestigations (PR)

3.29. Explosive Ordnance Disposal (EOD)

Chapter 4—RECIPROCAL ACCEPTANCE OF PRIOR INVESTIGATIONS AND

PERSONNEL SECURITY DETERMINATIONS 23

4.1. Prior Federal Civilian Investigations

Chapter 5—REQUESTING PERSONNEL SECURITY INVESTIGATIONS 24

5.1. General

5.2. Authorized Requesters

5.3. Criteria for Requesting Investigations

5.4. Request Procedures

5.5. Priority Requests

5.6. Personal Data Provided by the Subject of the Investigation

5.7. Dual Citizenship

Chapter 6—ADJUDICATION 27

6.1. Central Adjudication Authority

6.2. Adjudicative Record

Chapter 7—ISSUING CLEARANCE AND GRANTING ACCESS 28

7.1. General

7.2. Investigative Requirements for Coding Positions

7.3. Investigative Requirements for Air Force Specialty Codes (AFSCs)

7.4. Investigative Requirements for Sensitive Programs

7.5. Investigative Requirements for Air Force Deployments, Operational or

Contractual Exigencies

7.6. Approval Authorities for Additional/New/Upgrade of SSBIs

7.7. Periodic Reinvestigations

7.8. Issuing Security Clearance Eligibility

7.9. The Joint Personnel Adjudication System (JPAS)

4 AFI31-501 27 JANUARY 2005

7.10. AF JPAS Users Guide

7.11. Granting Access

7.12. Obtaining Information from the AFCAF

Chapter 8—UNFAVORABLE ADMINISTRATIVE ACTIONS 35

8.1. Referral for Action

8.2. Suspension

8.3. Air Force Office of Special Investigations

8.4. Final Unfavorable Administrative Actions

8.5. Procedures

8.6. Unfavorable Administrative Action Procedures

8.7. Security Clearance Reinstatement

8.8. Special Access Programs

8.9. Obtaining Permission to Proceed in Courts-Martial, Administrative Discharges, and Civilian Removal Actions

Chapter 9—CONTINUING SECURITY RESPONSIBILITIES 46

9.1. Evaluating Continued Security Clearance

9.2. Supervisory Responsibility

9.3. Initial Briefings and Refresher Briefings

9.4. Foreign Travel Briefing

9.5. Termination Briefing

Chapter 10—SAFEGUARDING PERSONNEL SECURITY INVESTIGATIVE RECORDS

10.1. Responsibilities

10.2. Access Restrictions

10.3. Safeguarding Procedures

Chapter 11—PROGRAM MANAGEMENT 48

11.1. Responsibilities

Chapter 12—DELETED 49

12.1. (DELETED)

Attachment 1—GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION 50

Attachment 2—REQUEST PROCEDURES 57

AFI31-501 27 JANUARY 2005 5

Attachment 3—TABLES FOR INVESTIGATIONS AND ASSIGNING SECURITY

ACCESS REQUIREMENTS (SAR) 62

Attachment 4—DOD SECURITY CLEARANCE AND OR SCI ACCESS

DETERMINATION AUTHORITIES 69

Attachment 5—STRUCTURE AND FUNCTIONING OF THE PERSONNEL SECURITY

APPEAL BOARD 70

Attachment 6—SAMPLE WAIVER OF PRE-APPOINTMENT INVESTIGATIVE

REQUIREMENTS 72

Attachment 7—SAMPLE MEDICAL CERTIFICATION TO THE COMMANDER OF

INDIVIDUAL FOR PRESIDENTIAL SUPPORT PROGRAM 73

Attachment 8—SAMPLE COMMANDER’S NOMINATION TO CHIEF, SERVICING

SECURITY ACTIVITY FOR A PRESIDENTIAL SUPPORT POSITION 74

Attachment 9—SAMPLE CHIEF, SERVICING SECURITY ACTIVITY, MEMORANDUM TO 497 IG/INS FOR PROCESSING OF

PRESIDENTIAL SUPPORT PROGRAM NOMINEE 76

Attachment 10—SAMPLE CHIEF, SERVICING SECURITY ACTIVITY, NOTIFICATION TO THE SERVICING MEDICAL FACILITY OF THE

INDIVIDUAL APPROVED FOR PRESIDENTIAL SUPPORT DUTIES 77

Attachment 11—SAMPLE CHIEF, SERVICING SECURITY ACTIVITY, REQUEST

FOR EVALUATION OF CONTINUED SECURITY CLEARANCE TO

COMMANDER 78

Attachment 12—SAMPLE REQUEST TO ESTABLISH A SECURITY INFORMATION

FILE (SIF) 80

Attachment 13—SAMPLE COMMANDER NOTIFICATION TO INDIVIDUAL OF SIF

ESTABLISHMENT AND SUSPENSION OF ACCESS TO CLASSIFIED

INFORMATION 82

Attachment 14—SAMPLE COMMANDER NOTIFICATION TO INDIVIDUAL OF SIF

ESTABLISHMENT WITH CONTINUED ACCESS TO CLASSIFIED

INFORMATION 83

Attachment 15—SAMPLE CHIEF, SERVICING SECURITY ACTIVITY, NOTIFICATION TO COMMANDER OF SIF ESTABLISHMENT 84

Attachment 16—SAMPLE SIF CUSTODIAN CHECKLIST ITEMS 86

Attachment 17—SAMPLE NOTIFICATION TO 497 IG/INS OF SIF ESTABLISHMENT

WHEN INDIVIDUAL MAINTAINS ACCESS 87

Attachment 18—SAMPLE SIF ESTABLISHMENT NOTIFICATION TO

INSTALLATION COMMANDER 88

6 AFI31-501 27 JANUARY 2005

Attachment 19—SAMPLE REQUEST FOR REVIEW AND WRITTEN OPINION 89

Attachment 20—SAMPLE SIF TRANSFER MEMORANDUM TO GAINING SECURITY

ACTIVITY 90

Attachment 21—SAMPLE RECOMMENDATION TO 497 IG/INS FOR SIF CLOSURE 91

Attachment 22—INSTRUCTIONS FOR IDENTIFYING PERSONNEL SECURITY

INVESTIGATION REQUIREMENTS FOR AF POSITIONS. 92

Attachment 23—INSTRUCTIONS TO COMPLETE AF FORM 2583,REQUEST FOR

PERSONNEL SECURITY ACTION 96

Attachment 24—SMITH AMENDMENT 98

Attachment 25—TABLE FOR INTERIM SECURITY CLEARANCE/ACCESS

AUTHORITY 100

Attachment 26—IC 2005-1 TO AFI 31-501, PERSONNEL SECURITY PROGRAM

MANAGEMENT 102

AFI31-501 27 JANUARY 2005 7

Chapter 1

GENERAL PROVISIONS

1.1. Purpose.

1.1.1. Use this instruction with the DOD Regulation 5200. 2-R and AFPD 31-5 to implement the personnel security program. This instruction requires collecting and maintaining information protected by the Privacy Act of 1974 authorized by Executive

Orders 9397, 9838, 10450, 11652, and 12968; and 5 United States Code (U.S.C.) 7513, 7532, 7533; 10 U.S.C. 8013. Privacy Act system of records notices F031 497IG A, SCI Personnel

Records; F031 497IG B Special Security Case Files; F031 11 SPS A, Presidential Support

Files; F031 11 SPS B, Personnel Security Clearance and Investigation Records; F031 AF SP

N, Special Security Files;.F031 SAFPA A, Requests for Access to Classified Information by

Historical Researchers; F036 497 IG B, For Cause Discharge Program apply.

1.1.2. Submit waivers to DOD Regulation 5200.2-R and AFPD 315 through command

Information Security Program Manager (ISPM) channels to HQ USAF/XOFI, 1340 Air Force Pentagon, Washington DC 203301340.

1.2. Applicability. This AFI applies to DOD civilian employees, active duty military, the Air

National Guard and Air Force Reserves.

1.3. Definitions. See Attachment 1 for additional definitions. For purposes of this AFI the term

―Commander‖ means: Commanders or equivalent and staff agency chiefs.

1.4. Records Management. Maintain and dispose of all records created as a result of prescribed processes in accordance with AFMAN 37-139, Records Disposition Schedule.

8 AFI31-501 27 JANUARY 2005

Chapter 2

POLICIES

2.1. Clearance and Sensitive Position Standard. The personnel security standard that must be applied to determine whether a person is eligible for access to classified information or assignment to sensitive duties is whether, based on all available information, the person’s loyalty, reliability, and trustworthiness are such that entrusting the person with classified information or assigning the person to sensitive duties is clearly consistent with the interest of national security.

2.2. Military Service Standard. See AFPD 36-29, Military Standards and AFPD 36-20, Accession of Air Force Military Personnel. It provides policies to ensure the Air Force employs the right quantity and quality of people in the Air Force.

2.3. Criteria for Application of Security Standards. The criteria for determining eligibility for a security clearance are listed in DOD 5200.2-R, para 2-200. Commanders apply the criteria for security standards when granting access to classified information.

2.4. Types and Scope of Personnel Security Investigations. The scope of each type of personnel security investigation is listed in DoD 5200.2-R, Appendix B. See Attachment 2 for procedures on requesting personnel security investigations (PSI). See Attachment 3 for guidance on the types of required personnel security investigations and appropriate questionnaire forms and or Electronic Personnel Security Questionnaire (EPSQ) Software.

2.4.1. General. The investigations listed in DoD Regulation 5200.2R and this instruction are the only PSIs authorized. The Secretary of the Air Force and/or the Under Secretary of

Defense, Intelligence must approve raising or lowering the scope of the authorized investigation.

2.4.2. Entrance National Agency Check (ENTNAC). ENTNACS were replaced by the

NACLC on 1 Oct 99 for military accessions.

2.4.3. National Agency Check (NAC). NACs are primarily used for positions of trust.

2.4.4. National Agency Check Plus Written Inquiries and Credit Check (NACIC). NACICs are conducted by OPM and are required on all civilian employees entering government employment and assigned to nonsensitive positions.

2.4.5. Access National Agency Check with Written Inquiries and Credit Check (ANACI).

ANACIs are conducted by OPM and are required for civilian employees’ initial Secret security clearance or assignment to noncritical sensitive positions.

2.4.6. National Agency Check, Local Agency Checks and Credit Check (NACLC).

NACLCs are required for military access to Secret information.

2.4.7. Single Scope Background Investigation (SSBI). SSBIs are required for access to TOP

SECRET, Sensitive Compartmented Information (SCI), special sensitive positions and for critical sensitive positions.

2.4.8. Periodic Reinvestigation (PR). PRs are investigations conducted at prescribed intervals for the purpose of updating a previously completed background investigation.

AFI31-501 27 JANUARY 2005 9

2.4.9. Special Investigative Inquiry (SII). SIIs are used to prove or disprove allegations or new information concerning the security standards that arise after a person has been granted a security clearance.

2.5. Authorized Personnel Security Investigation Provider. The Office of Personnel

Management (OPM) is the DoD Authorized Personnel Security Investigation Provider.

2.6. Allegations of Criminal Activity. Commanders refer possible criminal conduct to the supporting Air Force Office of Special Investigations (AFOSI) detachment.

2.7. Overseas Personnel Security Investigations. AFOSI personnel conduct the overseas portion of personnel security investigations, augmented by Army, Navy, and State Department counterparts.

2.8. Limitations and Restrictions. A break in service of over 24 months invalidates an individual’s personnel security clearance eligibility.

10 AFI31-501 27 JANUARY 2005

Chapter 3

SECURITY CLEARANCE

3.1. Authority to Designate Sensitive Positions. Commanders with position designation authority determine the security sensitivity of civilian positions. Each civilian employee is subject to an investigation depending on the sensitivity of the position to be occupied, except for reappointment when the break in employment is less than 24 months.

3.2. Nonsensitive Positions.

3.2.1. The servicing civilian personnel flight (CPF) processes the initial request for NACIC’s to OPM for civilians occupying nonsensitive positions, not requiring access to classified information. OPM forwards the investigation to the CAF. Suitability determinations for civilian government employment are made accordingly:

3.2.2. The CAF forwards the completed investigation, OPM ―Certificate of Investigation‖ and the OPM INV Form 79A, Report of Agency Adjudicative Action on OPM Personnel

Investigations to the base servicing CPF.

3.2.3. The CPF:

3.2.3.1. Determines if the individual is deemed suitable for employment IAW 5 CFR

731.201-202. Coordination and or consultation with the supervisor and or commander may be made.

3.2.3.2. If employee is determined suitable, CPF signs off on the OPM Certificate of

Investigation and the form is filed in the individual’s Official Personnel Folder (OPF)

IAW AFI 36.114, Guide to Personnel Recordkeeping.

3.2.3.3. If applicant is determined unsuitable, CPF fills out the OPM INV Form 79A, Report of Agency Adjudicative Action on OPM Personnel Investigations and coordinates with the employee’s supervisor and or commander. CPF forwards the OPM INV Form

79A to OPM.

3.3. Reassignment to a Noncritical Sensitive Position. If a civilian employee is subsequently selected for a position requiring access to classified information and unescorted entry into restricted areas (noncritical sensitive), security managers process the completed SF 86, Questionnaire for National Security Positions, to security forces authorized requesters.

3.3.1. Security Forces Authorized Requesters:

3.3.1.1. Submit the SF 86 to OPM for an ―Access NACI‖. The address is: OPM-FIPC

PO Box 618, 1137 Branchton Road, Boyers, PA, 16018. OPM does not have the EPSQ, therefore requests must be sent in hard copy. Use the EPSQ at the unit, validate the

EPSQ, and print the SF 86 for mailing. Contact the servicing CPF for any questions concerning Part 1 of the SF 86 or the OPM Agency Use Information Sheet. A fingerprint card is not required as the individual has already been the subject of a NACI or NACIC.

3.4. Reassignment to a Critical Sensitive Position. If, in the future, the individual is selected for a critical sensitive position, security managers process the request for investigation to the

AFI31-501 27 JANUARY 2005 11

security forces authorized requester who will submit an SF 86 requesting a SSBI in accordance with Attachment 2.

3.5. PRs for Critical Sensitive and Noncritical Sensitive Positions. The periodic reinvestigation requirements apply to civilian employees in noncritical sensitive positions that require access to classified information. The reinvestigation requirements apply to civilian employees in critical sensitive positions whether or not they have access to classified information. See Attachment 3.

3.6. Pre-employment Waivers.

3.6.1. Sensitive Positions. Commanders must ensure procedures for pre-appointment to sensitive positions preclude an uncleared person from having access to classified information.

3.6.2. Noncritical Sensitive and Critical Sensitive Positions (3-204). The commander or staff agency chief (or designee) with position sensitivity determination authority prepares a waiver of preemployment investigation requirements when such action is necessary and in the national interest. See Attachment 6 for sample waiver memorandum. The memorandum is filed in the individual’s OPF IAW AFI 36-114, Guide to Personnel Recordkeeping.

3.7. Mobilization of DOD Civilian Retirees. MAJCOM commanders can waive the investigative requirements for the mobilization of selected re-employed annuitants for temporary appointment when the break in employment is greater than 24 months.

3.8. Military Appointment, Enlistment, and Induction. Personnel appointed, enlisted, or inducted to the active or reserve forces of the Air Force must have a favorable personnel security investigation. See Attachment 3.

3.8.1. Clearance requirements for officer training school selectees are outlined in Air Force

Instruction (AFI)362005, Appointment in Commissioned Grades and Designation and

Assignment in Professional Categories.

3.9. Mobilization of Military Retirees. MAJCOM commanders can waive the requirement for a full NACLC for the mobilization of military retirees upon reentry to active duty after a break of more than 24 months.

3.10. Security Clearance Authority. The 497 Intelligence Group/INS, Directorate of Security and Communications Management, the Air Force Central Adjudication Facility, is the designated authority to grant, suspend, deny, or revoke personnel security clearances and SCI access (see

Chapter 11).

3.10.1. The CAF issues security clearance eligibility to the highest level authorized based on the type of investigation conducted. Unit commanders grant clearance access based on the level of the position occupied by the individual. The access level required should be annotated on the request for investigation.

3.10.2. The SAF Special Access Program (SAP) Central Adjudication Office, Wright-

Patterson AFB Ohio is the designated authority to grant, suspend, deny, revoke, or limit SAF access. (See AFI 16-701, Special Access Programs).

3.10.3. Commanders control security clearances within their activity. See para 7.1.2.

3.10.4. See Chapter 7 for granting of access to classified information.

12 AFI31-501 27 JANUARY 2005

3.11. Interim Security Clearances. Commanders may grant interim security clearances for access to Top Secret and Secret information when the requirements of DoD 5200.2-R, paragraph

3.401 have been met. Use of local information and the following requirements provide

Commanders with the necessary tools to exercise their authority to grant interim security clearances. Also see Attachment 25, Table A25.1 for guidance on the authority level to grant interim security clearance/access to specific programs.

3.11.1. Interim Top Secret security clearances:

3.11.1.1. Favorable ENTNAC, NAC, NACI, NACIC, NACLC, or ANACI completed.

3.11.1.2. Consult the Joint Personnel Adjudication System (JPAS) to determine the existence of a favorable ENTNAC, NAC, NACI, NACIC, NACLC, or ANACI. The investigation is acceptable if there is no break in service over two years.

3.11.1.3. Favorable review of personnel security questionnaire.

3.11.1.4. Favorable review of local personnel records, base and or security force records, medical records, and other security records, as appropriate.

3.11.1.5. SSBI package has been submitted by an Authorized Requester to the investigative agency provider.

3.11.2. Commanders can grant interim Top Secret security clearance if the above provisions have been met.

3.11.2.1. Favorable review of EPSQ or SF 86.

3.11.2.2. Favorable review of local personnel records, base/security force records, medical records, and other security records as appropriate.

3.11.2.3. Confirmation of a previous secret security clearance for newly hired civilian employees who have held a secret security clearance as a former military member

(without a break in service of 24 months) or who hold a secret security clearance either as an Air Reserve Technician or as a traditional reservist.

3.11.2.4. Confirmed receipt of NACLC request at DSS by DSS EPSQ Receipt System.

Confirmed receipt of ANACI request at OPM through the supporting CPF.

3.11.3. If there is no record of a completed investigation (NAC portion) in JPAS, contact Air

Force Central Adjudication Facility (AFCAF) Customer Support through JPAS to determine if there is a favorable NAC. (Note Optional: Authorized requesters can request ―Advanced

NAC Results‖ from OPM on the OPM Agency Use Sheet.)

3.11.4. Interim Secret security clearances:

3.11.4.1. Favorable review of personnel security questionnaire.

3.11.4.2. Favorable review of local personnel records, base and or security forces records, medical records, and other security records, as appropriate.

3.11.4.3. NACLC or ANACI has been submitted by an Authorized Requester to an investigative agency provider.

3.11.5. Interim security clearances must be documented in JPAS or in writing if JPAS is unavailable, until the final security clearance eligibility is granted by the AFCAF.

AFI31-501 27 JANUARY 2005 13

3.11.6. For Civilians:

3.11.6.1. Consult JPAS on a newly hired civilian for a previous security clearance/personnel security investigation to determine if a previous security clearance was held as a former military member (without a break in service of two years) or if a security clearance as either an Air Reserve Technician or as a traditional reservist was held.

3.11.6.2. Pending completion of ANACIs or SSBIs, as appropriate, civilians may occupy non-critical sensitive or critical sensitive positions. Commanders prepare a waiver of pre-employment investigation requirements when such action is necessary and in the national interest. Interim security clearance may not be granted until after the commander signs the waiver memorandum.

3.11.7. JPAS is the source for determining investigative status on pending investigations.

Also see para 7.9.

3.12. Access to Classified Information by Non-US Citizens.

3.12.1. Initial Limited Access Authorization (LAA). The MAJCOM/SF approves the request for a personnel security investigation for the purpose of LAA. Approvals are returned to the requester and an information copy is provided to the CAF. Authorized requesters initiate the personnel security action and submit a SSBI to DSS. A favorable SSBI is a prerequisite for LAA. The CAF will adjudicate the SSBI, issue the LAA authorization to

MAJCOM/SF, and enter the information in the Adjudication Management System (AMS).

MAJCOM/SF forwards the authorization to the requester. The requester grants the LAA.

Requirements governing nondisclosure agreement form and a security termination statement apply to LAAs.

3.12.2. Annual Certification. MAJCOM/SF provides an annual report to the CAF by 1 Nov of each year certifying the continued need for the command’s LAAs. The CAF provides a consolidated report to HQ USAF/XOFI by 25 Nov each year. HQ USAF/XOFI approves the report and forwards to OASD (C3I) by 1 Dec of each year.

3.13. Access by Persons Outside the Executive Branch. Refer to AFI 31401, Information

Security Program Management, for granting access to persons outside the Executive Branch.

3.13.1. Authorized requesters submit the appropriate investigation according to Attachment

2 based on the level of access required.

3.13.1.1. Annotate the request, ―Request for investigation is required IAW DOD 5200.1-

R, paragraph 6-201, Access to Person Outside the Executive Branch.‖

3.13.1.2. The CAF does the adjudication and enters the results in the AMS.

3.14. Access by Different Categories of Individuals.

3.14.1. Voluntary Emeritus Corps and Intergovernmental Personnel Act (IPA).

3.14.1.1. There is an affiliation with the Government by virtue of the signing of an agreement. As a general rule, these individuals will not have access to classified information. In certain instances, the commander may approve access to classified information.

14 AFI31-501 27 JANUARY 2005

3.14.1.2. Access will be justified and must provide a specific benefit or gain to the

Government.

3.14.1.3. The access will be commensurate with the level the person held prior to retirement/separation or the level currently held by IPA personnel under the National

Industrial Security Program. Offices should accept and maintain visit authorization requests submitted by the sponsoring cleared facility as evidence of an IPA participant’s current clearance.

3.14.1.4. Access will be kept to the absolute minimum for the work being performed and limited to a specific time period.

3.14.1.5. The agreement between the individual and the organization will include a security clause.

3.14.1.6. The individual will sign an SF 312, Classified Information Nondisclosure

Agreement (NdA) and be briefed or re-briefed on security requirements (individuals need not sign another SF 312 if verification can be made that an NdA was previously signed).

3.14.1.7. Physical custody of classified information is not authorized.

3.14.1.8. The CAF will certify the individual’s security clearance. If a break in service exceeds 24 months, the requesting organization must initiate a request for the appropriate investigation.

3.14.1.9. The CAF will provide an AF Form 2584, Record of Personnel Security

Investigation and Clearance to the requesting organization if required due to lack of automation capabilities.

3.14.2. Consultants. A consultant, paid or unpaid, will only require access to classified information at an Air Force activity or in connection with authorized visits and is not required to be cleared under the National Industrial Security Program. The consultant is considered to be an Air Force employee and will be issued a clearance, adjudicated by the

CAF, in accordance with this AFI.

3.14.3. Individual Ready Reserve (IRR). The IRR is a manpower pool of pre-trained individuals who have already served in active component units or in the Selected Reserve and have some part of their Military Service Obligation remaining. Refer to DOD 1215.15-H, Reserve Components of the U.S. Armed Forces.

3.14.3.1. As a general rule, these individuals will not have access to classified information. In certain instances, the commander may approve access to classified information.

3.14.3.2. Access will be justified and must provide a specific benefit to the Air Force.

3.14.3.3. Access will be commensurate with the level the person held prior to transfer to the IRR, kept to the absolute minimum for the work being performed, and limited to a specific time.

3.14.3.4. An agreement between the individual and the organization is required and will include a security clause.

AFI31-501 27 JANUARY 2005 15

3.14.3.5. The individual will sign an SF 312, NdA, and be briefed or re-briefed on security requirements (individuals need not sign another SF 312 if verification can be made that one was previously signed).

3.15. One Time Access. A general court martial convening authority or equivalent Senior

Executive Service member, MAJCOM commander, wing commander, or civilian equivalent may approve access to classified information at a higher level than authorized by the existing security clearance during contingencies, or when an urgent operational or contractual exigency exists.

This authority can be used when the conditions of DOD 5200.2-R, para 3-406 are met. This does not apply to SCI access (see para 3.18 below), COMSEC, NATO, or foreign government information. The approving authority’s authorization for the access is maintained on file with the servicing security manager and or servicing security activity until the access is no longer needed.

3.16. Granting Access to Retired General Officers or Civilian Equivalents and Former

Presidential Appointees

3.16.1. The Secretary of the Air Force (SecAF), Chief of Staff of the Air Force (CSAF) or

Commanders of Air Force Major Commands (MAJCOM/CCs) or Headquarters Air Force two letter Directors may request that SAF/AA approve sponsorship for a retired general officer, Senior Executive Service (SES) member or former Presidential appointees to support a specific Air Force Program or mission where the authorized holder has verified the individual requires access to specific classified information in order to perform or assist in a lawful and authorized governmental function. SAF/AA, based upon information provided by the requesting official, will determine on a case by case basis, whether a nominee has a particular skill or expertise that would benefit the Air Force, clearly consistent, or compelling with the interests of national security, and there is a compelling need justifying sponsorship.

Nominee must have in-scope investigation and be on appointment as an unpaid consultant with the Air Force. Any such request is subject to the following conditions and limitations.

3.16.1.1. Nominees with in-scope background investigations may be granted eligibility for one year or the completion of the mission/program whichever is less. Eligibility may be extended for additional periods provided there is a request specifying a continuing compelling need and the background investigation remains current.

3.16.1.2. Investigative requirements for nominees with out of scope investigations may be waived; however, access for such individuals will not exceed a period of 90 days.

Access may be extended for additional periods of 90 days at the discretion of the approving authority upon a demonstration of continuing compelling need for access by the nominating official.

3.16.1.3. The decision to fund investigations to allow continued access will be made on a case by case basis depending on a demonstrated compelling need.

3.16.1.4. Level of access shall not exceed that held at the time of retirement or government separation.

3.16.1.5. SCI or SAP access will not be granted under this authority. Requests for

SCI/SAP access must be processed thru AF/A2RS (SCI) and SAF/AAZ (SAP) after clearance eligibility is granted by SAF/AA.

16 AFI31-501 27 JANUARY 2005

3.16.1.6. Classified materials may not be removed from a Government installation or other area approved for storage of classified information.

3.16.1.7. Individuals employed by government contractors will abide by all ethical terms and agreements as put forth in the unpaid consultant package. Failure to do so will result in removal from the program and discontinued access under this program.

3.16.1.8. Blanket access based on a retiree’s or former Presidential appointee’s grade or past assignments is prohibited.

3.16.2. Nominating officials must send request to SAF/AAZ through MAJCOM/FOA/DRU

Information Protection Office. SAF/AAZ will process request and forward to SAF/AA for approval. The request must include the following information:

3.16.2.1. The nominee’s name, grade/rank, SSAN, telephone number, personal e-mail address, and last position held while on active duty, as a General Officer, SES, or

Presidential appointee.

3.16.2.2. The justification must identify the particular program or mission, organization or personnel that will be supported.

3.16.2.3. The level of classification to which access is requested.

3.16.2.4. Individuals accepted for access/eligibility into the program will not be afforded any competitive advantage through material released to him/her.

3.16.3. SAF/AA will determine on a case by case basis whether: (a) nominated individuals have a particular skill or knowledge that would benefit a specific Air Force program, and (b) there is a compelling need justifying access. If eligibility is approved, SAF/AAZ will provide a memorandum to the appropriate agency(s) and ensure the necessary systems

(JPAS) are updated.

3.16.4. Former Secretaries of the Air Force, retired Chief of Staffs of the Air Force, or other former Air Force Presidential Appointees may be approved for access to classified information upon a determination by SAF/AA that access by the individual is necessary for the purpose of accomplishing a national security objective and consistent with current administration guidance (see DoD 5200.1-R, C6.2.2.7). Investigative requirements may be waived upon a determination by SAF/AA that the individual is trustworthy and that the individual can and will safeguard information from unauthorized disclosure. Any such access must be reviewed and validated by SAF/AA at the beginning of each calendar year.

Access will not be approved for individuals who are employees of government contractors unless they meet all ethical requirements and provisions and are on appointment as an unpaid consultant with the Air Force.

3.17. Processing Requests for Access by Historical Researchers. Refer to AFI 31-401 for guidance in granting of access to researchers.

3.17.1. Authorized requesters request a NAC according to Attachment 2. Identify the request as ―Special Category Historical Researcher‖ in remarks.

3.17.2. The CAF will forward the completed investigation to the Air Force Historian.

3.17.3. The United States Air Force History Support Office (AFHSO/HO), 200 McChord, Box 94, Bolling AFB DC 20332, will make the access determination.

AFI31-501 27 JANUARY 2005 17

3.18. Sensitive Compartmented Information. The Director of Intelligence Surveillance and

Reconnaissance (HQ USAF/XOI), 1480 Air Force Pentagon, Washington DC 20330-1480, controls access to SCI within the Air Force. Routine prescreening for SCI access is no longer required. Refer to AFMAN 14-304, The Security, Use, and Dissemination of Sensitive

Compartmented Information (SCI). for specific guidance on conducting SCI prescreening interviews, requesting investigations, granting access, and waiver information.

3.18.1. The 319

th

Training Squadron (319 TRS/TPCSS), 1550 Wurtsmith Street, Suite 7, Lackland AFB TX 78236-5242, conducts interviews pertaining to individuals identified for

SCI positions during basic military training. They also conduct interviews of individuals requiring Top Secret for Air Force specialty code retention and critical personnel reliability program certification.

3.18.2. A single agency check (SAC) is required on the following categories of individuals associated with the subject of an SSBI (a) spouse or cohabitant, (b) immediate family members, 18 years old or older, who were born outside the United States. If marriage or cohabitation occurs after completion of the SSBI, submit Spouse SAC via EPSQ to DSS.

Keep one copy for the authorized requester’s suspense file.

3.19. Single Integrated Operational Plan-Extremely Sensitive Information. See AFI 10-

1102, Single Integrated Operational Plan-Extremely Sensitive Information (SIOP-ESI).

3.20. Presidential Support Activities. The following guidance supplements DOD Directive

5210.55, Department of Defense PSP and DOD Instruction 5210.87, Selection of DOD Military and Civilian Personnel and Contractor Employees for Assignment to Presidential Support

Activities (PSAs). The PSP includes personnel assigned duties involving regular or frequent contact with or access to the President or Presidential facilities, communications activities, or modes of transportation.

3.20.1. The Office of the Administrative Assistant, Director for Security and Investigative

Programs (SAF/AAZ) is the single office designated to develop policy and represent the Air

Force on matters covered by the DOD Presidential Support Directive and Instruction.

3.20.2. HQ USAF/XOFI implements policy for the PSP.

3.20.3. The CAF:

3.20.3.1. Manages adjudicative functions as required by the PSP.

3.20.3.2. Accomplishes requisite cover letters and coordination with support units on behalf of SAF/AAZ.

3.20.3.3. Forwards nomination packages, regardless of adjudicative outcome to

SAF/AAZ.

3.20.3.4. Submits the ―Information Requirements‖ report on a quarterly basis to

SAF/AAZ for approval and forwards approved report to the Executive Secretary. Copies of the approved report are provided to HQ USAF/XOFI, the servicing security activity, and contracting officers for distribution.

3.20.3.5. Maintains historical files.

18 AFI31-501 27 JANUARY 2005

3.20.4. SAF/AAZ advises commanders or company representatives when nominees have been selected or nonselected by SAF/AAZ or the Executive Secretary. SAF/AAZ enters selection status information in the AMS.

3.20.5. Appeals. Any DOD civilian or contractor employee not selected for, or removed from, presidential support duties shall be afforded an opportunity to appeal this decision as provided in DODD 5210.55 and DODI 5210.87. The governing directives do not provide appeal rights for military members, however, when exceptional mitigating circumstances exist, or derogatory information is reported in error, SAF/AAZ will reconsider non-selection decisions. Reconsideration of military non-selections requires unit commander approval and involvement.

3.20.6. The servicing security activity of the nominating unit:

3.20.6.1. Processes the appropriate investigation to DSS or OPM. See Attachment 2.

3.20.6.1.1. Completes DD Form 1879 for an SSBI by typing ―YANKEE WHITE‖ in capital letters in the remarks section. Checks the ―Presidential Support‖ block and indicates the level of clearance required for the position. Includes the title of the authorized presidential support position and the unit or organization to which the individual will be assigned.

3.20.6.1.2. Completes the SF 86 for a NACLC by typing ―YANKEE WHITE‖ in capital letters in the remarks section. Type ―Presidential Support‖ and indicate the level of clearance required for the position. Include the title of the authorized presidential support position and the unit or organization to which the individual will be assigned.

3.20.6.2. Prepares the ―servicing security activity‖ nomination memorandum for the

CAF outlined in Attachment 9.

3.20.6.3. Forwards the nomination memorandum to the CAF for further processing.

3.20.6.4. Notifies the servicing medical facility that must mark and monitor the individual’s medical records, upon notification by the Commander that the member has been approved for presidential support duties. See Attachment 10.

3.20.6.5. Notifies the servicing medical facility when individuals are no longer assigned presidential support duties.

3.20.6.6. Notifies the CAF presidential support representative telephonically within 24 hours when an individual’s access has been temporarily suspended or removed and note if publicity is anticipated. The temporary suspension or removal should also be input into the CAVS which will provide the information to the CAF electronically. Provides written follow-up to include a summary of all available information within 2 working days. If applicable a full report of investigation of the allegations and commander’s recommendation for removal or reinstatement shall be forwarded to the CAF within 50 days. Provide a status report within 30 working days. Temporary suspension in which the issues are unresolved by the applicant within 90 days shall become a permanent removal.

Notifies the CAF within five working days, when this occurs. Notifies the CAF when individual’s (1) are permanently removed from presidential support duties, (2) separate or

(3) retire. The CAF notifies SAF/AAZ immediately in all cases.

AFI31-501 27 JANUARY 2005 19

3.20.6.7. Completes and forwards to DSS the FD Form 258, FBI Fingerprint Card.

3.20.6.8. Forwards requests for transfer or designation of additional presidential support positions to the CAF for coordination. The CAF will attach the current unit billet structure and forward it to SAF/AA for approval.

3.20.6.9. Processes individuals for periodic reinvestigations.

3.20.7. Servicing Medical Authority:

3.20.7.1. Ensures the medical records of members approved for presidential support duties are identified, evaluated and monitored while assigned to presidential support.

3.20.7.2. Identifies the medical records using AF Form 745, Sensitive Duties Program

Record Identifier (see AFI 41-210, Patient Administration Functions).

3.20.7.3. Immediately notifies the individual’s commander or designated representative and the servicing security activity when a significant effect on the individual’s suitability to perform presidential support duties is expected as a result of medical, dental, or mental health treatment or medication, and if drug or alcohol abuse is suspected.

3.20.7.4. Provides a summary of pertinent health records to individual’s commander or designated representative at their request. The actual record will be provided only if specifically requested for clarification purposes or other compelling need. Mental health clinic records may, if necessary, be reviewed in their entirety by the individual’s commander or reviewing official, provided a privileged mental health provider is present to help interpret psychological testing data and other technical information which may be contained in the record. The information contained in the record is protected under the

Privacy Act and is not to be discussed or released except as indicated in this paragraph.

3.20.8. Commander and or Supervisory Indoctrination Program. Commanders and or supervisors will become knowledgeable of DOD 55210.55 and requirements of this AFI prior to evaluating and recommending individuals for presidential support positions.

3.20.9. Continuing Evaluation. Commanders and supervisors continually evaluate the trustworthiness of personnel serving in presidential support duties to ensure they meet the standards. Take necessary action when adverse information becomes known to access the validity of the information. If appropriate, initiate action for suspension and or removal.

Follow SIF procedures as outlined in Chapter 8 when unfavorable information surfaces on an individual already in the PSP program.

3.20.10. Investigative Requirements. Persons nominated for presidential support duties must have an SSBI or NACLC current within 36 months of assignment to presidential support duties. The DD Form 1879/SF 86 will be annotated to reflect if the investigation is for initial assignment into the program.

3.21. Nuclear Weapons Personnel Reliability Program. Refer to AFI 36-2104, Nuclear

Weapons Personnel Reliability Program (PRP) for PRP certification and investigative guidance.

A new personnel security investigation (PSI) or periodic reinvestigation is required when there is a break in personnel reliability program certification of more than five years, or for new PRP assignments when the security investigation date is over five years. A new PSI is also required any time a break in service of more than 24 months occurs between completion of the security investigation and PRP certification dates.

20 AFI31-501 27 JANUARY 2005

3.22. Access to North Atlantic Treaty Organization Classified Information. U.S. military personnel, civilians, and contractors shall be permitted temporary access to COSMIC Top Secret information based on a final U.S. Secret clearance and issuance of an interim Top Secret clearance, pending completion of an SSBI and issuance of a final Top Secret clearance. The temporary access will be valid until completion of the investigation and adjudication of the final clearance. However, the agency granting the access will rescind it if adjudicatively significant information is identified during the course of the investigation. The same procedures apply to personnel not assigned to a NATO staff position, but requiring access to NATO COSMIC Top

Secret, Secret or Confidential information. The granting agency records NATO access in the

CAVS. Refer to AFI 31-406, Applying NATO Protection Standards.

3.23. Special Access Program. Certain programs require additional investigative and or safeguarding requirements. Refer to AFI 16-701, The US Air Force Special Access Programs.

3.24. Processing Requests for Access to Restricted Areas, Sensitive Information or

Equipment Not Involving Access to Classified Information. Access for unescorted entry may be granted based on the following investigative requirements. Refer to Attachment 3, Table

A3.6.

3.24.1. DOD and OPM civilians require a National Agency Check with Written Inquiries and Credit Check (NACIC).

3.24.2. Air Reserve forces personnel with a current Entrance National Agency Check

(ENTNAC) or NAC may have unescorted entry to restricted areas while in civilian status, pending completion of the required NACIC.

3.24.3. Department of Energy employees require an ―L‖ (Secret) clearance.

3.24.4. Federal employees require a NAC.

3.24.5. United States active duty, retired, or separated military members with an Honorable

Discharge and no break in service greater than 24 months, may use a previously completed

ENTNAC or NACLC.

3.24.6. Contractor employees require a NAC. Contractors operating as visitor groups only

(contract performance exceeding 90 consecutive days), have the following option.

Commanders may grant individuals access to restricted areas subject to: (1) the contractor completing the SF 85P and it is submitted to OPM for a NAC; (2) a check of the Defense

Clearance and Investigations Index reveals no relevant, significant information which might preclude…