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A security clearance is a status granted by agencies of the
United States Government that determines a person’s
ability to access and view documents of national security.
A security clearance investigation is an inquiry into an individual’s
loyalty, character, trustworthiness and reliability to ensure
that they are eligible for access to national security information.
The investigation focuses on an individual’s
character and conduct, emphasizing such factors as honesty,
trustworthiness, reliability, financial responsibility, criminal
activity, emotional stability, and other similar and pertinent
areas. All investigations consist of checks of national records
and credit checks; some investigations also include interviews
with individuals who know the candidate for the clearance
as well as the candidate himself/herself.
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Security Clearance Background Investigations for the Department
of Defense (DOD) are conducted by the Defense Security Service
(DSS). This includes background investigations for military
personnel, civilian personnel who work for DOD, and military
contractors. The Office of Personnel Management (OPM) conducts
Security Clearance Investigations for most other branches
of the Federal Government.
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A PSI is an inquiry into an individual's loyalty, character,
trustworthiness and reliability to ensure that he or she is
eligible to access classified information or for an appointment
to a sensitive position or position of trust.
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PSIs and security clearances are key elements in protecting
the security of the United States. PSIs and security clearances
are required to counter the threats that may stem from:
- Foreign intelligence services;
- Organizations or people who wish
to overthrow or undermine the United States government through
unconstitutional means, violent acts, or other terrorist
group activities;
- Individuals who:
- May be susceptible to pressure
or improper influence.
- Have been dishonest or demonstrated
a lack of integrity that has caused others to doubt their
reliability.
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An adjudicator, who is employed by one of the DOD Central
Adjudication Facilities (CAFs), reviews the results of a PSI
and compares it to established qualifying criteria for granting
access to classified information or for an appointment to
a sensitive position or position of trust.
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An interim security clearance is one that is issued quickly
to an individual for use at a specific job. Unlike regular
clearances, interim clearances expire immediately after the
individuals leave the job that required the clearance. Interim
security clearances are generally of a low level and can be
given within 30 days of inquiry. An interim is issued once
a review of the application is completed and the candidate
is determined eligible.
An interim clearance allows a person
to have access to collateral classified information (at the
level requested without a caveat) whiles his or her final
clearance is being processed. Interim Secrets are issued automatically
and can be denied. A denial, however, does not mean that a
final will not be issued. It means there is something on the
application which must be first reviewed and investigated
fully. Interim Top Secret clearances must be requested by
the government customer contractor. An Interim Top Secret
is equal to a final Secret.
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An “active” clearance is one in which the candidate
is presently eligible for access to classified information.
A “current” clearance is one in which a candidate
has been determined eligible for access to classified information
but is not currently eligible without a reinstatement. A candidate
has two years to remain on a “current” status
before moving to an “expired” status. Both “active”
and “current” clearances are easily transferred
between employers. An “expired” clearance is one
that has not been used in more than two years and cannot be
reinstated. Once sponsored, the candidate must resubmit a
clearance application and go through a new investigation to
have access. Individuals with expired clearances cannot be
considered for jobs that require active or current clearances.
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According to the United States
government, levels of security are measure by the amount of
damage that would be caused to the United States if that information
were to be released to the public or to a foreign source.
Security clearances can be issued by many United Stated government
agencies, including the Department of Defense, including all
branches of the military, the Department of Energy, the Department
of Justice and the NSA or CIA.Major Department of Defense
clearances include Confidential, Secret, Top Secret, Top Secret
with Single Scope Background Investigation (TS-SSBI) and Top
Secret with Sensitive Compartmentalized Information (TS
SCI).
To have access to classified information, one must possess
the necessary two elements: A level of security clearance,
at least equal to the classification of the information, and,
an appropriate "need to know" the information in
order to perform their duties. An individual may have a Top
Secret clearance but this would not necessarily give them
access to all Top Secret information. They would also need
to have the ‘need to know’.
It is also worth mentioning that the Department of Defense
(DOD) operates its security program separate from other government
agencies, with its own procedures and standards. A Top Secret
Clearance with the Department of Energy, for example, would
not necessarily transfer to DOD.
Classified information is divided into one of three categories:
Confidential: This refers to information or material,
which if improperly disclosed could be reasonably expected
to cause some measurable damage to the national security.
Secret: The unauthorized disclosure of secret information
or material is which reasonably could be expected to cause
serious damage to the national security.
Top Secret: Applied to information or material the
unauthorized disclosure of which reasonably could be expected
to cause exceptionally grave damage to the national
security.
In addition, there is some classified information is so sensitive
that even the extra protection measures applied to Top Secret
information are not sufficient. This information is known
as "Sensitive Compartmented Information" (SCI) or
Special Access Programs (SAP). These require additional approval
to be given access to this information.
"For Official Use Only" is not a security classification.
It is used to protect information covered under the Privacy
Act, and other sensitive data.
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Security clearances can be issued by many United States government
agencies, including the Department of Defense, the Department
of Energy, the Department of Justice, and the Central Intelligence
Agency. Department of Energy clearances include the “Q,”
“R” and “L” levels. Most security
clearances are issued by the Department of Defense and include
Confidential, Secret and Top Secret.
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The Defense Industrial Security Clearance Office (DISCO) in
Columbus, OH issues clearances once all leads on a personnel
security clearance (Personnel Clearance) investigation are
complete and an applicant is considered eligible for a Personnel
Clearance.
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The Defense Industrial Security Clearance Office (DISCO) is
a component of DSS that maintains historical and current records
on all DSS-issued personnel and facility clearances.
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At this time, there is no direct charge for a FCL or Personnel
Clearance.
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A cleared contractor identifies an employee with a need to
have access to classified information (e.g., the employee
will work on a classified contract). Once identified, the
FSO ensures that the employee completes an Electronic Questionnaire
for Investigations Processing (e-QIP) and forwards the application
to Office of Personnel Management for processing.
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A collateral clearance is a clearance with no caveats (e.g.,
special accesses such as COMSEC or NATO). In other words,
TS, S and C are collateral clearances.
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A clearance with a caveat is a collateral clearance plus a
special access. In order to have the special access, the cleared
individual usually receives a briefing related to the caveat.
COMSEC and NATO are examples of caveats requiring a briefing
prior to access.
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A Sensitive Compartmented Information (SCI) clearance is a
special access beyond a Confidential (C), Secret(S) or Top
Secret (TS). In order to have a (SCI) clearance, a cleared
contractor must first be selected by a government agency.
That government agency issues and monitors SCIs. With the
exception of processing the C, S or TS facility and personnel
clearance, DSS is not involved in SCI clearances.
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Yes. A naturalized person is to be treated as a US citizen.
However, the naturalized person may have to provide information
on his or her clearance application regarding foreign relatives,
associations, etc.
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The amount and detail of information varies with the level
of clearance requested. It may include family information,
past and current work history, locations you have lived, roommate
names, financial history, travel history, groups or affiliations,
and more.
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Once it is determined that an individual requires a Security
Clearance because of assignment or job, the individual is
instructed to complete a Security Clearance Background Investigation
Questionnaire. As of May 2001, DOD requires that this form
be completed by use of a computer software program, known
as EPSQ (Electronic Personnel Security Questionnaire), instead
of the paper form, the SF-86. The ESPQ carries the same questions
as the SF-86.
When completing the questionnaire,
for Confidential, and Secret Clearances, it's necessary to
provide information for the previous five years. For Top Secret
Clearances, one must provide information for the previous
ten years. It's important to note here that giving false information
on a Security Document constitutes a violation of Title 18,
United States Code, Section 101 and Article 107 of the Uniform
Code of Military Justice. (UCMJ). Under the United States
Code, one may be fined, and imprisoned for a period of five
years. Under the UCMJ, the maximum punishment includes reduction
to the lowest enlisted grade, forfeiture of all pay and allowances,
confinement for a period of five years, and a dishonorable
discharge.
If you realize after you have handed
in the form that you have inadvertently made a mistake or
omitted something important, please tell your Security Officer,
Recruiter, MEPS Security Interviewer, or the DSS Investigator
when you are interviewed. If you do not do so, the error or
omission could be held against you during the adjudicative
process.
It should also be noted that page
10 of the SF-86 contains a statement which you sign authorizing
release of any information about you to Security Clearance
Investigators. This means that investigators can access any
and all information about you, including sealed records, juvenile
records, expunged records, and medical records.
Once you complete the ESPQ, the document
is sent to the Defense Security Service (DSS). DSS is responsible
to verify the information and perform the actual background
investigation. The level of investigation depends upon the
level of access to be granted.
For Confidential and Secret Clearances:
- A National Agency Check (NAC)-A
computerized search of investigative files and other records
held by federal agencies such as the Federal Bureau of Investigations
(FBI) and Office of Personnel Management (OPM).
- A Local Agency Check (LAC)-A review
of appropriate criminal history records held by local law
enforcement agencies, such as police departments or sheriffs,
with jurisdiction over the areas where you have resided,
gone to school, or worked.
- Financial checks - A review of
your Credit Record.
For Top Secret Clearances, a Single
Scope Background Investigation (SSBI) is performed which includes
the entire above, plus:
- Field interviews of references
to include coworkers, employers, personal friends, educators,
neighbors, and other appropriate individuals.
- Checks of records held by employers,
courts, and rental offices.
- A subject interview - An interview
with you by an investigator.
These inquiries are performed by
one or more investigators who work in the geographic area
where the information is to be obtained. NACs, however, may
be performed electronically from a central location.
Field Interviews
When conducting field interviews,
the investigators will normally begin with individuals you
list as references in the questionnaire. They then use those
references to develop names of additional references, etc.
These references will be asked questions about your honesty,
reliability, and trustworthiness, and their opinion on whether
you should be given access to classified information or assigned
to a sensitive position or position of trust.
Your references will also be asked
questions about your past and present activities, employment
history, education, family background, neighborhood activities,
and finances. During the investigation the investigator(s)
will try to determine if you have had any involvement with
drugs, encounters with the police,
Subject Interviews
The objective of the subject interview
is to obtain a complete picture of you as an individual so
that an adjudicator can determine whether you will be able
to cope with having access to classified or sensitive information
without becoming a security risk. Therefore, the interview
will be wide-ranging and cover most aspects of your life.
During the subject interview, expect to be questioned about
your family background, past experiences, health, use of alcohol
or drugs, financial affairs, foreign travel, and other pertinent
matters.
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It's important to note that OPM does not make any security
clearance determinations or recommendations. OPM simply gathers
information. Once the information has been verified, and the
investigations completed, OPM presents the information to
the specific military service's or agency adjudicator authority
(each agency or service has their own), who determine whether
or not to grant the security clearance, using standards set
by that particular agency or service.
Primarily, adjudicators look for
honesty, trustworthiness, character, loyalty, financial responsibility,
and reliability. On cases that contain significant derogatory
information warranting additional action, the adjudicator
may draft a request for additional investigation/information,
or request psychiatric or alcohol and drug evaluation. Even
so, adjudicators are not the final authority. All denials
of clearances must be personally reviewed by a branch chief,
or higher.
The adjudicator considers the following
factors when evaluating an individual’s conduct:
- The nature, extent and seriousness
of the conduct
- The circumstances surrounding
the conduct, to include knowledgeable participation
- The frequency and recency of
the conduct
- The individual’s age and
maturity at the time of the conduct
- The voluntariness of participation
- The presence or absence of rehabilitation
and other pertinent behavioral changes
- The motivation for the conduct
- The potential for pressure, coercion,
exploitation, or duress; and
- The likelihood of continuation
of the conduct
Accordingly, each case is judged
on its own merits and final determination remains the responsibility
of the specific department or agency. Any doubt as to whether
access to classified information is clearly consistent with
national security will be resolved in favor of the national
security.
Because of a recent change in the
law, there are some factors which will positively result in
the denial of a clearance. As a result of the Smith Amendment,
the FY01 Defense Authorization Act amended Chapter 49 of Title
10, United States Code, and precluded the initial granting
or renewal of a security clearance by (DOD) under the following
four specific circumstances:
- An individual has been convicted
in any court of the U.S. of a crime and sentenced to imprisonment
for a term exceeding one year.
- An individual is (currently) an
unlawful user of, or is addicted to, a controlled substance
(as defined in section 102 or the Controlled Substances
Act (21U.S.C. 802)).
- An individual is mentally incompetent,
as determined by a mental health professional approved by
the DOD.
- An individual has been discharged
or dismissed from the armed forces under dishonorable conditions.
The statute also provides that the
Secretary of Defense and the secretary of the military department
concerned may authorize an exception to the provisions concerning
convictions, dismissals and discharges from the armed force
in meritorious cases.
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Polygraphs are special tests that can be administered to help
determine an individual’s eligibility for access to
classified information.
The use of the polygraph for any
Department of Defense program is governed by DOD regulations.
The DOD regulation details the exact manner in which the examination
must be conducted. No relevant question may be asked during
the polygraph examination that has not been reviewed with
the person to be examined before the examination, and all
questions must have a special relevance to the inquiry. Certain
"validating" questions may be asked without prior
disclosure to establish a baseline from which the examiners
can judge the validity of the answers to the relevant questions.
The probing of a person's thoughts or beliefs, or questions
on subjects that are not directly relevant to the investigation,
such as religious or political beliefs or beliefs and opinions
about racial matters, are prohibited.
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The purpose of a polygraph is to determine, to the greatest
extent possible, whether or not a given applicant can be trusted
with sensitive information. Two types of polygraphs exist,
and either one or both polygraphs may be administered to the
candidate in question. Polygraphs are conducted by trained
polygraph examiners who have been schooled on administering
them.
A Counter Intelligence polygraph
asks the candidate questions limited to the subject’s
allegiance to the US. The questions are based on foreign contacts,
foreign associations, etc. A Counter Intelligence polygraph
is the most common polygraph.
A Lifestyle Polygraph asks the candidate
questions the concern the subject’s personal life and
conduct and can involve all aspects of present and past behavior.
Questions asked might concern drug and alcohol use, sexual
preference and behavior, mental health, family relationships,
compulsive or addictive behavior, and more. A Lifestyle Polygraph
attempts to look for issues in a person’s private life
for that which he or she might be blackmailed.
A Full Scope polygraph is a combination
of both the Counter Intelligence and Lifestyle polygraphs.
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No. There are two ways in which you can obtain a security
clearance; first, by joining the United States military; or
second, by being sponsored by an employer who is able to process
candidates to receive clearances
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According to the United States government, only legal United
States citizens can obtain security clearances. In rare instances,
individuals with highly specialized skills and experience
may also be considered for the clearance process.
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Currently low level clearances can take up to one year to
complete and be issued. Higher levels security clearances
can take up to two years to be processed. There are exceptions
to this depending on the skill set needed for a particular
position but these instances are rare and can still take a
year to process. Three distinct parts of the process are:
preinvestigation (filling out the appropriate forms), investigation
(the Office of Personnel
Management conducts the background check on the individual),
and adjudication (an Office of Personnel Management representative
reviews the investigation results along with other information
and makes a determination on clearance award).
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After the initial PSI is completed, a Periodic Reinvestigation
(PR) is required every 5 years for a Top Secret clearance,
10 years for a Secret clearance, or 15 years for a Confidential
clearance. However, civilian and military personnel of DOD
can be randomly reinvestigated before they are due for a PR.
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Clearance status is determined by when
the clearance was last used. If you present job requires use
of a security clearance that clearance is referred to as ‘active’.
If you have not used your security clearance in your job in
the past two years, that clearance is referred to as ‘current’.
If you have not used security in more than two years that
clearance is referred to as ‘expired’. Active
clearances are easily transferable between employers who are
approved to hold clearances.
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If you receive a security clearance, you
will be notified by your employing organization. Before you
can have access to classified information, your employing
organization must also give you a security briefing. To find
out the status of your security clearance, contact your security
officer.
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Professionals with active security clearances
are in high demand in many industries, occupations and professional
levels. Our nation’s security is a high priority for
the United States government and their contractors, and the
need for qualified individuals at every level is just as important.
While individuals with high clearance levels are very desirable,
there are also important needs at every level for professionals
with security clearances.
Many contractors say that a security clearance
is needed to apply for their jobs. How can I get a clearance
in advance so I can apply for these jobs? Can I pay for it
myself?
Office of Personnel Management has no procedure
for an individual to independently apply for an investigation
or security clearance. Clearances are based on investigations
requested by Federal agencies, appropriate to specific positions
and their duties. Until a person is offered such a position,
the government will not request or pay for an investigation
for a clearance. Once a person has been offered a job (contingent
upon satisfactory completion of an investigation), the government
will require the person to complete a Standard Form 86, Questionnaire
for National Security Positions, initiate the investigation,
adjudicate the results, and issue the appropriate clearance.
We know that some Defense Department contractors
require applicants to already have a clearance, and they have
the right to administer their personnel hiring procedures
the way they want as long as they don't discriminate based
on prohibited factors (such as race or religion). Persons
who already have clearances are those who are already employed
by a government contractor (or by the government itself) and
are looking for other job opportunities.
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The average time to process a security
clearance is presently 18 months. However, the length of time
is widely varied depending upon the level of clearance and
the issues involved. Three distinct parts of the process are:
preinvestigation (filling out the appropriate forms), investigation
(the Office of Personnel Management conducts the background
check on the individual), and adjudication (an Office of Personnel
Management representative reviews the investigation results
along with other information and makes a determination on
clearance award).
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The U.S. Office of Personnel Management,
the Department of Defense, and a few other agencies share
this responsibility. The FBI mostly conducts investigations
on the following: High level Presidential appointees, cabinet
officers, agency heads and staff who may work at the White
House directly for the President.
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No. It is not possible to "pre-apply"
for a security clearance. Not all Federal employees or contractors
have security clearances. Individuals who are tentatively
selected for government jobs (or as Federal contractors) will
be investigated as appropriate. If access to National Security
Information is required, you will need to complete a security
questionnaire and an investigation will be conducted. If the
investigation results are favorable, a security clearance
will be granted if appropriate.
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To be issued a clearance for another position,
an individual must meet the following requirements:
- For a Clearance at a Cleared
Facility under the NISP, the termination date of your former
clearance must have been within the past 24 months, and
there must not have been any subsequent adverse information
on you that would preclude you from being issued a new clearance.
If you do not meet these requirements, the employing organization
may ask you to complete an EPSQ for them to request OPM
to perform a PSI on you.
- For Federal or Military Service,
the date you left prior federal or military service must
have occurred less than 24 months ago. However, there must
not have been any subsequent adverse information on you
that would preclude you from being issued a new clearance.
In addition, if your initial investigation or PR was not
completed within the timeframe described in the answer to
the previous question, an investigation may have to be requested
before you can be granted another clearance.
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To learn the status of your PSI you must
contact your security officer.
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Yes. There is a continuing evaluation requirement
for all personnel holding security clearances. DOD regulations
require the military services and DOD agencies to establish
security programs so that supervisory personnel know their
responsibilities in matters pertaining to the cleared individuals
under their supervision. Such programs provide practical guidance
as to indicators that may signal matters of possible concern
which would call into question whether it is in the best interests
of the country for an individual to continue to hold a security
clearance. Each service and agency provides supervisors with
specific instructions regarding reporting procedures (for
adverse information). Facility Security Officers (FSOs) are
also obligated under the NISPOM to report adverse information
on cleared employees. If considered necessary, on review of
the reported information, the appropriate authority can request
an investigation to determine whether that individual’s
clearance should be removed. In cases of grave concern, a
clearance can even be suspended pending the results of the
investigation.
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Basically, there is no one thing that will
result in denial of a security clearance and there are not
many instances in which a person’s clearance is denied.
Clearance adjudicators use a documented guide and “formula”
to determine whether or not the individual is eligible for
a security clearance. In an applicant, they look for honesty,
trustworthiness, character, loyalty, financial responsibility,
and reliability. On cases that contain significant derogatory
information, further investigation is usually required.
There are, however, four criteria which
will positively result in the denial of a clearance: an individual
convicted of a crime and sentenced to prison for more than
one year, an applicant is (currently) an illegal user of,
or is addicted to, a controlled substance, the subject is
mentally incompetent, or the individual has been discharged
or dismissed from the armed forces under dishonorable conditions.
When there is an issue with a candidate
and more review needs to occur prior to granting or denying
a clearance, the paperwork is forwarded to the Department
of Hearing and Appeals (DOHA) for further processing. DOHA
puts all the information together, provides its recommendation
and then goes to the requesting government agency for a final
decision. Once the decision is made, the applicant is notified.
In addition, the applicant is allowed a detailed appeal process.
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The history is fairly long and complicated.
However, certain specific events give a clear understanding
of how the security clearance investigation process has evolved,
and the difficulties the US government has faced. In general,
four types of problems have caused the security clearance
backlog to stay maintained at large numbers.
1. Increase of new personnel clearance
requests and periodic reinvestigations
2. Inadequate resources and personnel for
Defense Security Service
3. Frequent changes in leadership positions
at Defense Security Service
4. Problems shifting responsibility from
Defense Security Service to Office of Personnel
Management
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Until July 2005, the EPSQ was the electronic
security clearance application used within the NISP.
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The e-QIP is the automated request for
personnel security investigations which in July, 2005, replaced
the Electronic Personnel Security Questionnaire (EPSQ).
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The JPAS is the official personnel security
clearance database management system for the Department of
Defense. All NISP cleared contractors will use this system
for all types of personnel clearance actions. For more information,
visit the JPAS website at https://jpas.osd.mil.
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Periodic Reinvestigation (PR)
A periodic reinvestigation (PR) is when
a currently cleared individual is required to review, update
and resubmit his or her clearance application for a reinvestigation.
Periodic Reinvestigations are routinely required every 5 years
for those with TS clearances, every 10 years for those with
Secret clearances and every 15 years for those with Confidential
clearances. A PR is done to ensure that a candidate should
still have access to classified information. Random Periodic
Reinvestigations are also administered at will.
National Agency Check (NAC/LAC)
A NAC is the type of investigation required
for a Secret or Confidential clearance. It includes a thorough
review of the candidate's national and local records. It generally
does not require an interview with an investigator.
Single Scope Background Investigation
(SSBI)
An SSBI is a more detailed investigation
and is required for a TS investigation. It includes a review
of the applicant's national and local records and an interview
with an investigator.
Special Inquiry Investigation (SII)
An SII is a special investigation conducted
when some type of adverse information has been reported/discovered
on a cleared individual.
Trustworthiness Investigation
A trustworthiness investigation is not
conducted for a security clearance. It is requested when an
applicant is going to have access to Sensitive but Unclassified
Information. For example, trustworthiness investigations are
sometimes conducted on those that will have access to a sensitive
site (e.g., cleaning crew on a military installation).
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The NISP is the industrial security program
regulated by the Department of Defense (Department of Defense),
Defense Security Service (DSS). In addition to Department
of Defense agencies, there are 23 additional federal government
participants. The main regulation document under the NISP
for cleared contractors is the National Industrial Security
Program Operating Manual (NISPOM).
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A company must be sponsored by a government
agency or a cleared contractor for a facility clearance. A
contractor cannot sponsor itself for a facility clearance.
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Either a government agency or a cleared
contractor can sponsor a company for a facility clearance.
A contractor cannot sponsor itself for a facility clearance.
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Sponsorship is in the form of a letter
to the Defense Industrial Security Clearance Office (DISCO)
requesting that a particular company be processed. The letter
provides the prospective company’s name, address, phone
number and point of contact. It should also provide the classified
contract number, facility clearance level and the requestor
point of contact and phone number.
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A Defense Security Service (DSS) Industrial
Security Representative (IS Rep) with the help of the company’s
POC will determine which individuals must be cleared in connection
with the FCL. Ordinarily, those that have control over the
company (e.g., the CEO, President, Executive VP and/or other
officers or board members) and the Facility Security Officer
must be cleared. Those individuals cleared in connection with
a FCL are called Key Management Personnel (KMP).
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The facility is not eligible for a FCL.
Alternatively, the officer must officially step down from
his or her title as an officer/director and relinquish control
of the facility.
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The FSO is a KMP who has responsibility
over the facility’s security program. During the time
in which a facility is cleared, the FSO is the main POC for
the DSS IS Rep. The FSO must be cleared at the level of the
FCL.
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