Bidders Library Security - DoDM 5200 02.pdf

DOD MANUAL 5200.02

PROCEDURES FOR THE DOD PERSONNEL

SECURITY PROGRAM (PSP)

Originating Component: Office of the Under Secretary of Defense for Intelligence

Effective:

Releasability:

April 3, 2017

Cleared for public release. Available on the DoD Issuances Website at http://www.dtic.mil/whs/directives.

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

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.

DoDM 5200.02, April 3, 2017

TABLE OF CONTENTS 2

TABLE OF CONTENTS

SECTION 1: GENERAL ISSUANCE INFORMATION

1.1. Applicability

1.2. Information Collections

SECTION 2: RESPONSIBILITIES

2.1. Under Secretary of Defense for Intelligence (USD(I))

2.2. Director, Defense Intelligence (Intelligence and Security) (DDI&I&S))

2.3. Director, Defense Security Service (DSS)

2.4. GC DoD

2.5. Director, Defense Office of Hearings and Appeals (DOHA)

2.6. Under Secretary of Defense for Personnel and Readiness (USD(P&R))

2.7. Director, Department of Defense Human Resources Activity (DoDHRA)

2.8. Under Secretary of Defense for Acquisition, Technology, and Logistics

(USD(AT&L))

2.9. Director, Washington Headquarters Services (WHS)

2.10. DoD Component Heads

2.11. Heads of DoD IC Elements

2.12. Secretary of the Air Force

SECTION 3: NATIONAL SECURITY INVESTIGATIONS

3.1. General

3.2. Federal Investigative Standards (FIS)

3.3. Investigative Requirements

3.4. Polygraph

3.5. Post-Adjudicative Inquiries

3.6. Reinvestigations

SECTION 4: SPECIFIC INVESTIGATIVE REQUIREMENTS BY POPULATION

4.1. Civilian Personnel

4.2. Military Personnel

4.3. Contractors

4.4. Consultants and Grantees of a DoD Component

4.5. Non-U.S. Citizens Employed Overseas in Support of National Security Positions

4.6. Temporary Employees

4.7. Wounded Warrior Security and Intelligence Internship Program (WWSIIP)

4.8. Retired General or Flag Officer (GO/FO) or Civilian Equivalent

4.9. Red Cross and United Service Organization (USO) Personnel

4.10. Persons Outside the Executive Branch

SECTION 5: INVESTIGATIVE REQUESTS

5.1. General

5.2. Authorized Requestors

5.3. Limitations and Restrictions for Submitting Investigations

5.4. Processing Investigative Forms

5.5. Temporary (or Interim) National Security Eligibility

5.6. One-Time or Short Duration Access

5.7. Accountability of Personnel Security Reports and Records

TABLE OF CONTENTS 3

5.8. Subject Request for PSI Report

5.9. Records Disposition

APPENDIX 5A: RECIPROCITY

5A.1. General 5A.2. Verify Eligibility 5A.3. Exceptions to Reciprocity 5A.4. Annotating Reciprocal Determinations 5A.5. Additional Reciprocity Guidance for SCI Access 5A.6. Reciprocity for the Nuclear Regulatory Commission and the DOE

SECTION 6: LAA FOR NON-U.S. CITIZENS

6.1 General

6.2. Conditions for LAA

6.3. Investigative Requirements

6.4. Authorized Access Levels

6.5. Unauthorized Access Levels

6.6. Request Procedures

6.7. LAA Determination Authority

SECTION 7: NATIONAL SECURITY ADJUDICATIONS

7.1. General

7.2. Adjudication Authorities

7.3. Prohibition on Retaliation by Affecting Eligibility for Access to Classified

Information

7.4. Adjudicative Guidelines

7.5. Electronic Adjudication (E-Adjudication)

7.6. Adjudication of National Security Cases

7.7. DoD Case Management and Adjudication Tracking Systems

7.8. Documenting Adjudications

7.9. Personnel Performing Adjudicative Functions

7.10. SCI Adjudication

7.11. SAP Adjudication

7.12. Polygraph and Credibility Assessment Procedures

7.13. Adjudication Timelines

7.14. Duration of Security Eligibility and Access Determinations

7.15. Determining Eligibility with Conditions

7.16. Interim Eligibility

APPENDIX 7A: DETERMINATION AUTHORITIES

7A.1. Officials Authorized to Grant, Deny, Revoke, or Suspend National Security

Eligibility 7A.2. Officials Authorized to Suspend Access to Classified Information 7A.3. Officials Authorized to Grant, Deny, or Revoke LAA 7A.4. Final Determinations

APPENDIX 7B: SPECIAL CIRCUMSTANCES

7B.1. Adherence to Federal Laws 7B.2. Adherence to Federal Laws Prohibiting Marijuana Use 7B.3. Prohibition for all Security Clearances (The “Bond Amendment Prohibition”)

TABLE OF CONTENTS 4

APPENDIX 7C: ADJUDICATION OF INCOMPLETE NATIONAL SECURITY INVESTIGATIONS

7C.1. General 7C.2. Factors to Consider

SECTION 8: ACCESS DETERMINATIONS

8.1. Access to Classified Information

8.2. One-Time or Short Duration Access

8.3. Special Cases

SECTION 9: PERSONNEL SECURITY ACTIONS

9.1. General

9.2. Referal of Derogatory Information for Action

9.3. Loss of Jurisdiction

9.4. Suspension of National Security Eligibility or Access

SECTION 10: APPEAL PROCESS

10.1. General

10.2. Minimum Due Process Requirements Applicable to All

10.3. Specific Procedures for Contractor Employees

10.4. Specific Procedures for Civilian Employees and Military Members

10.5. Recording Final Determinatinos

10.6. Reconsideration

10.7. Reinstatement of Civilian Employees

APPENDIX 10A: PSAB STRUCTURE AND FUNCTIONING

APPENDIX 10B: PERSONAL APPEARANCES BEFORE DOHA

SECTION 11: CE AND REPORTING REQUIREMENTS

11.1. General

11.2. CE Responsibilities

a. Commanders, DoD Component Heads, Directors, Supervisors, and Security Professionals’ Responsibilities

b. Employee Responsibilities

c. Individual Responsibilities

11.3. Additional Reporting Requirements for Individuals with Access to SCI Information. 73

11.4. Financial Disclosure

11.5. Post-Adjudication Issues

SECTION 12: EDUCATION, TRAINING, AND PROFESSIONAL CERTIFICATION

12.1. Education and Training Requirements

12.2. APC Program

GLOSSARY

G.1. Acronyms G.2. Definitions

REFERENCES

TABLES

Table 1. PPR Disqualification

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 the 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.

SECTION 2: RESPONSIBILITIES 6

SECTION 2: RESPONSIBILITIES

2.1. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I)). The USD(I):

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 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.

n. Approves adoption of DoD enterprise-wide personnel security systems of record.

SECTION 2: RESPONSIBILITIES 7

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), 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), in addition to the responsibilities in Paragraph 2.10 and in accordance with DoDD 5105.42, the Director, DSS:

a. Reports to USD(I) 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 DoD 5220.22-R and the May 13, 2009 USD(I) Memorandum.

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.

SECTION 2: RESPONSIBILITIES 8

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) 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) (e.g., automated clean case screening and automated records checks).

b. Coordinates with the Office of the Under Secretary of Defense for Intelligence (OUSD(I)), DoD Consolidated Adjudication Facility (CAF), DoD Components, and the Office of the Deputy Chief Management Officer (DCMO) 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.

d. Provides personnel security data to the OUSD(I) and to DSS as requested by OUSD(I).

e. Provides analysis, research, and development support through the Defense Personnel and Security Research Center to OUSD(I), to advance DoD personnel security policy, programs, and DoD and Executive Branch reform efforts.

SECTION 2: RESPONSIBILITIES 9

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 DCMO, 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), 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).

c. Provide annual PSI workload projections to OUSD(I) 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.

SECTION 2: RESPONSIBILITIES 10

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 DoDI 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 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.

SECTION 2: RESPONSIBILITIES 11

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.

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) and the Air Force.

SECTION 2: RESPONSIBILITIES 12

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) and the Air Force. The POC:

(1) Provides copies of billing data to OUSD(I) and Defense Personnel Security and Research Center as needed.

(2) Notifies OUSD(I) 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.

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

SECTION 3: NATIONAL SECURITY INVESTIGATIONS 14

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.

SECTION 3: NATIONAL SECURITY INVESTIGATIONS 15

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.

SECTION 3: NATIONAL SECURITY INVESTIGATIONS 16

(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 investigation.

citizenship since the last

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 or counseling since the last investigation.

alcohol-related treatment

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 operationwarfighter@opm.gov. Include the subject’s full name, the electronic application (e-application) request identification number, and the DoD POC should OPM need additional information.

SECTION 4: SPECIFIC INVESTIGATIVE REQUIREMENTS BY POPULATION 22

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.