Investigation and Adjudication Flashcards
What is a suitability determination?
A) The withdrawal of a job offer or non-selection for a position
B) A reasonable expectation that the employment or continued employment of an individual would or would not be clearly consistent with the interests of National Security
C) Allows access to classified information
D) Determines suitability for federal employment
D) Correct, to be considered suitable for employment in the federal competitive service, individuals must display identifiable character traits and behaviors that indicate an individual is likely to carry out their duties with integrity, efficiency, and effectiveness
A) This a security eligibility determination
B) This describes a security eligibility determination
C) This describes a security eligibility determination
What are the 3 main types of adjudications?
A) National Security Adjudications
B) Suitability Adjudications
C) Homeland Security Presidential Directive (HSPD) 12 Adjudications
D) Classified Access Adjudications
E) Noncritical Sensitive Adjudications
A) National Security Adjudications
B) Suitability Adjudications
C) Homeland Security Presidential Directive (HSPD) 12 Adjudications
D) Incorrect, this is not a type of adjudication. An individual’s eligibility to view classified information is determined by their National Security Investigation and ultimately up to their need-to-know on a case by case basis.
E) This is not a type of adjudication. noncritical sensitive is one of the Personnel designation categories.
All individuals in public trust positions within the DoD must resubmit an updated SF86 every ________ years.
A) 2
B) 5
C) 10
D) 15
B) 5
What investigation tiers are used for suitability determinations?
A) Tier 1
B) Tier 2
C) Tier 3
D) Tier 4
E) Tier 5
A) Correct, T1 investigations are conducted for positions designated as low risk, nonsensitive, and for physical and logical access–that is, HSPD-12 credentialing. The investigative form is the Standard Form (SF)–85
B) Correct, T2 investigations are conducted for positions designated as nonsensitive, moderate risk public trust. The investigative form is the SF-85P
D) Correct, T4 investigations are conducted for positions designated as non sensitive high risk public trust. The investigative form is the SF-85P
C) Incorrect, T3 investigations are conducted for positions designated as noncritical sensitive and/or requiring Confidential, Secret, or “L” access eligibility. The investigative form is the Sf-86
E) Incorrect, T5 investigations are conducted for positions designated as critical-sensitive or special-sensitive and/or requiring “Q” access or access to Top Secret or Sensitive Compartmented Information
What investigations tiers are used for national security positions (access to classified information)
A) Tier 1
B) Tier 2
C) Tier 3
D) Tier 4
E) Tier 5
C) Correct, T3 investigations are conducted for positions designated as noncritical sensitive and/or requiring Confidential, Secret, or “L” access eligibility. The investigative form is the Sf-86
E) Correct, T5 investigations are conducted for positions designated as critical-sensitive or special-sensitive and/or requiring “Q” access or access to Top Secret or Sensitive Compartmented Information.
A) Incorrect, T1 investigations are conducted for positions designated as low risk, nonsensitive, and for physical and logical access–that is, HSPD-12 credentialing. The investigative form is the Standard Form (SF)–85
B) Incorrect, T2 investigations are conducted for positions designated as nonsensitive, moderate risk public trust. The investigative form is the SF-85P
D) Incorrect, T4 investigations are conducted for positions designated as non sensitive high risk public trust. The investigative form is the SF-85P
What are the standards of evidence in a suitability case?
A) The evidence must establish conduct
B) The government has burden of proof
C) All facts must be supported by a preponderance of evidence
D) All of the above
D) All of the above
What document would you consult for regulations governing suitability investigations?
A) Title 5, CFR Part 731
B) EO 12968
C) DoD 5200.2-R
D) SEAD 4
B) Incorrect, this is the EO that establishes a uniform Personnel Security Program
C) Incorrect, this implements and maintains the DoD personnel security policies and procedures
D) Incorrect, this lays out the adjudicative guidelines for national security determinations
Which of the following are suitability actions?
A) Cancellation of eligibility, or reinstatement of eligibility
B) Debarment from employment
C) Withdrawal of job offer
D) Removal from position
E) Non-selection for position
A) Cancellation of eligibility, or reinstatement of eligibility
B) Debarment from employment
D) Removal from position
Who is the primary ISP for the DoD?
A) OPM
B) DoD CAS
C) FBI
D) DCSA
D) DCSA
A) Incorrect, the Office of Personnel Management serves as the chief human resources agency and personnel policy manager for the Federal Government
B) Incorrect, DoD CAS are the primary adjudicators for the DoD
C) Incorrect, the FBI does not conduct full investigations–only the initial fingerprint check.
Who adjudicates investigations for the DoD?
A) OPM
B) DoD CAS
C) FBI
D) DCSA
A) DoD CAS
A) Incorrect, the Office of Personnel Management serves as the chief human resources agency and personnel policy manager for the Federal Government
C) Incorrect, the FBI does not adjudicate
D) Incorrect, DCSA conducts investigations and sends the results to DoD CAS for adjudication
What is the role of the MSPB when it comes to appeals to suitability actions?
A) To initiate new investigations that will serves as the basis for a new determination
B) To un-withdraw a job offer that was originally withdrawn based on general incompetence
C) Negotiate and resolve disputes, unfair labor practice complaints, and exceptions to arbitration awards
D) To decide whether the original suitability determination is sustainable
D) To decide whether the original suitability determination is sustainable
A) Incorrect, appeals to suitability actions are predicated off the original investigation and any mitigating circumstances the subject can provide–not a new investigation entirely.
B) If an individual has objections to non-selection that was not based on their eligibility determination, the appeals process is covered under 5 CFR 322 and is not appealable to the Merit Systems Protection Board.
C) Incorrect, that is the responsibility of the Federal Labor Relations Authority
When the federal government collects personal information from an individual, it is required that the individual be informed of which of the following?
A) Cancellation of eligibility, or reinstatement of eligibility
B) Debarment from employment
C) Withdrawal of job offer
D) Removal from position
E) Non-selection for position
A) Under what authority the government agent is collecting the information
B) The purpose for collecting the information
C) The routine uses of the information
D) Whether providing this information is voluntary or mandatory
What is a Personnel Security Investigation used to determine?
A) Access to classified information
B) Acceptance or retention to the armed forces
C) Assignment or retention to sensitive duties
D) All of the above
D) All of the above
True/False: The CAS is the only authority who can grant an interim clearance
False: the Vetting Risk Operations (VRO) handles all interim eligibility.
What are the requirements for an interim Secret eligibility determination?
A) Favorably reviewed SF-86
B) Verified US Citizenship
C) Favorable completion and review FBI fingerprint check
D) National Crime Information Center (NCIC) check
E) Polygraph test
F) The ISP must have opened the proper investigation
A) Favorably reviewed SF-86
B) Verified US Citizenship
C) Favorable completion and review FBI fingerprint check
F) The ISP must have opened the proper investigation
D) Incorrect, this is only a requirement for a Top Secret Interim
E) Incorrect, this is not a requirement for an interim clearance
What are the responsibilities of the DoD CAS
A) Serves as the primary ISP for the DoD
B) Makes adjudicative decisions for the DoD
C) Serves as a repository for investigative records
D) Requests additional information where there is evidence that someone may no longer be eligible for a clearance
E) Serves as the chief human resources agency and personnel policy manager for the Federal Government
B) Makes adjudicative decisions for the DoD
C) Serves as a repository for investigative records
D) Requests additional information where there is evidence that someone may no longer be eligible for a clearance
A) Incorrect, this is the responsibility of DCSA
E) Incorrect, this is the responsibility of the OPM
What are the position designations, authorizations, and/or security eligibilities that can only be obtained by a Tier 5 investigation (formerly SSBI)?
A) Noncritical Sensitive
B) Special-Sensitive Positions
C) Critical-Sensitive Positions
D) LAA
E) Non-Sensitive Positions
F) Top Secret clearance eligibility
G) IT-I duties
B) Special-Sensitive Positions
C) Critical-Sensitive Positions
D) LAA
F) Top Secret clearance eligibility
G) IT-I duties
A) False, noncritical sensitive positions are covered by a Tier 3 investigation
E) Incorrect, non-sensitive positions are covered by Tier 1 investigations
What are the position designations, authorizations, and/or security eligibilities that require only a Tier 3 investigation?
A) IT-III duties
B) IT-II duties
C) Non-sensitive
D) Noncritical-Sensitive Positions
E) Secret clearance eligibility
F) Confidential clearance eligibility
G) Low-Risk
H) Military accessions or appointments
A) IT-III duties
B) IT-II duties
D) Noncritical-Sensitive Positions
E) Secret clearance eligibility
F) Confidential clearance eligibility
H) Military accessions or appointments
C) Non-Sensitive
G) Low-Risk
What are the position designations, authorizations, and/or security eligibilities that require only a Tier 1 investigation?
A) Confidential clearance eligibility
B) Non-Sensitive High Risk
C) Non-Sensitive Low Risk positions
D) Noncritical-Sensitive
E) HSPD-12 Credentialing
C) Non-Sensitive Low Risk positions
E) HSPD-12 Credentialing
A) Incorrect, no security eligibility can be determined by only a Tier 1 investigation.
B) Incorrect, an individual requires a Tier 4 investigation for a high-risk position
D) Incorrect, a Tier 3 is required for Noncritical-Sensitive
What is a SAC?
A) Special Agreement Check, the fingerprint portion of the Personnel Security Investigation
B) The investigation that was replaced by Tier 3
C) The investigation required for HSPD-12 Credentialing
D) None of the above
A) Special Agreement Check, the fingerprint portion of the Personnel Security Investigation
B) Incorrect, this is the NACLC
C) Incorrect, this is the Tier 1 investigation
D) Incorrect, the answer is A
What is not a suitability action?
A) Cancellation of eligibility, or reinstatement of eligibility
B) Debarment from employment
C) Withdrawal of job offer
D) Removal from position
E) Non-selection for position
C) Withdrawal of job offer
E) Non-selection for position
What is the purpose of due process in the Personnel Security Program?
A) Gives subjects a chance to appeal criminal charges in court and expunge their records
B) Gives subjects a chance to appeal position terminations on the basis of their protected class
C) Ensures fairness by providing the subject the opportunity to appeal an unfavorable adjudicative determination
D) None of the above
C) Ensures fairness by providing the subject the opportunity to appeal an unfavorable adjudicative determination
A) Incorrect, the PSP is not affiliated with the Department of Justice or the US court system
B) Gives subjects a chance to appeal position terminations on the basis of their protected class
D) Incorrect, C is the correct answer
Put the key procedures for initiating Personnel Security Investigations in the correct order:
A) Submit electronically to OPM
B) Subject completes an SF86 or SF85
C) Validate the need for investigation
D) Initiate eApp
E) Conduct a Special Agreement Check
- C) Validate the need for an investigation
- E) Conduct a Special Agreement Check
- D) Initiate eAPP
- B) Subject complete an SF86 or SF85
- A) Submit electronically to OPM
What is the investigative requirement for the DoD position sensitivity type: Critical-Sensitive?
A) Tier 1
B) Tier 2
C) Tier 3
D) Tier 4
E) Tier 5
E) Tier 5
What is the investigative requirement for the DoD position sensitivity type: Noncritical-Sensitive?
A) Tier 1
B) Tier 2
C) Tier 3
D) Tier 4
E) Tier 5
C) Tier 3
What is the investigative requirement for the DoD position sensitivity type: Nonsensitive?
A) Tier 1
B) Tier 2
C) Tier 3
D) Tier 4
E) Tier 5
A) Tier 1
What does revocation mean in the context of security eligibility determinations?
A) Debarment
B) Removal from position
C) The term when current security clearance eligibility determination is rescinded
D) The term when an initial request for security clearance eligibility is not granted
C) The term when current security clearance eligibility determination is rescinded
A) False, this is a suitability determination
B) False, while this can be a result of revocation, it is not the definition
D) False, this is denial
What does denied mean in the context of security eligibility determinations?
A) Debarment
B) Removal from position
C) The term when current security clearance eligibility determination is rescinded
D) The term when an initial request for security clearance eligibility is not granted
D) The term when an initial request for security clearance eligibility is not granted
A) False, this is a suitability determination
B) False, while this can be a result of denial, it is not the definition
C) False, this is a revocation
What is an SOR?
A) Statement of Reasons–A comprehensive and detailed written explanation of why a preliminary unfavorable adjudication determination was made
B) Statement of Requirements–The justification needed to initiate an investigation
C) Statement of Reasons–A written appeal of an unfavorable determination, written by a subject, explaining extenuating or mitigating circumstances that may change initial determination results
D) None of the above
A) Statement of Reasons–A comprehensive and detailed written explanation of why a preliminary unfavorable adjudication determination was made
B) Incorrect, an SOR is a comprehensive and detailed written explanation of why a preliminary unfavorable adjudication determination was made
C) Incorrect, an SOR is a comprehensive and detailed written explanation of why a preliminary unfavorable adjudication determination was made
D) Incorrect, the answer is A
Which of the following is NOT an adjudicative guideline?
A) Allegiance to the United States
B) Foreign Influence
C) Foreign Preference
D) Foreign Finances
E) All of the above are adjudicative guidelines
D) Foreign Finances–These guidelines deal with loyalty to the United States. While having business or other financial ties in a foreign country may contribute to concerns about an individual’s loyalty, it is not its own adjudicative guideline
Which of the following is NOT an adjudicative guideline?
A) Sexual Behavior
B) Personal Conduct
C) Unreliable Conduct
D) Financial Considerations
E) All of the above are adjudicative guidelines
C) Unreliable Conduct: Correct. Adjudicative Guidelines D, E, and F address concerns about an individual’s reliability, but “unreliable conduct” is not its own adjudicative guideline
Which of the following is NOT an adjudicative guideline?
A) Alcohol Consumption
B) Drug Involvement and Substance Misuse
C) Psychological Conditions
D) Treatment History
E) All of the above are adjudicative guidelines
D) Treatment History: Correct, the guidelines in this question deal with medical issues that might influence an individual’s ability to protect classified information. Treatment history for any of these conditions will be taken into account during adjudication, but is not an adjudicative guideline itself.
Which of the following is NOT an adjudicative guideline?
A) Criminal Conduct
B) Handling Protected Information
C) Outside Activities
D) Use of Information Technology
E) All of the above are adjudicative guidelines
E) All of the above are adjudicative guidelines–Correct. All of these are adjudicative guidelines that cover illegal and other noncompliant behavior.