Personnel Security Flashcards
1
Q
Purpose of Adjudications
A
In order to access classified information, perform sensitive duties, work in the competitive or excepted federal service, or receive credentials to access DOD-controlled facilities or information systems, DOD employees and contractor personnel must undergo investigation and adjudication by trusted government personnel.
2
Q
There are three main types of adjudications in the DOD:
A
- National security adjudications,
- Suitability adjudications
- Homeland Security Presidential Directive, or HSPD-12 adjudications.
3
Q
Define National Security Adjudications:
A
National security adjudications determine whether an individual is eligible to access classified information or perform sensitive duties that could result in an unacceptably adverse effect on national security.
4
Q
Define Suitability adjudications
A
determine whether an individual is suitable for employment in the federal government.
In some cases, the suitability adjudication is more extensive and may determine whether an individual should be allowed to hold a position requiring public trust. Along the lines of suitability adjudications, fitness determinations ensure that individuals working in excepted service positions or as defense contractors are suitable to hold those positions.
5
Q
Homeland Security Presidential Directive, or HSPD-12 adjudications.
A
determine who may be issued credentials for physical access to DOD-controlled facilities or logical access to information systems such as secure computers and networks.
6
Q
What are Suitability Adjudications?
A
Recall that the fundamental purpose of the suitability program is to determine suitability for federal employment.
7
Q
Determining an individual’s suitability for federal employment includes five main elements:
A
position designation
pre-investigation
investigation
adjudication
reinvestigation
8
Q
All individuals in public trust positions are subject to periodic reinvestigation every ______ years.
A
five
9
Q
T or F: And all other positions are subject to reinvestigation as needed based on various factors, such as risk-level changes, reemployment, or the discovery of new information that raises questions about a person’s suitability.
A
True
10
Q
The authority to adjudicate suitability is documented in several key laws and regulations. Congress granted the ultimate authority for suitability to the President in Title ____ of the United States Code.
A
5
11
Q
Presidential Authority (Authority for Suitability)
A
Regulates admission of individuals into the civil service
Ascertains applicant fitness
Regulates employee conduct in Executive Branch
12
Q
OPM Authority (Authority for Suitability)
A
Has jurisdiction over appointments to competitive service
Enforces civil service rules
Regulates examinations for federal employment
Evaluates the effectiveness of agency compliance with suitability program
requirements
13
Q
Which Executive Order authorized reinvestigations for certain positions and established reciprocity for fitness determinations?
A
Executive Order 13764
14
Q
When Does Suitability Apply?
A
suitability applies to all applicants, appointees, and employees of the federal competitive service
15
Q
The Suitability Process: Pre-investigation
A
Position designation
Prescreening
Tentative job offer* (*pending interim suitability determination)
Investigation initiation
16
Q
The Suitability Process: Investigation
A
Investigation of subject based on position requirements
17
Q
The Suitability Process: Adjudication
A
Application of suitability criteria to determine suitability
18
Q
The Suitability Process: Post adjudication
A
Reinvestigation
Suitability action
Due process
19
Q
Suitability timeline: So how much time is typically required to complete the full adjudication process?
A
The typical turnaround time for a suitability determination is approximately 80 days from the time of a tentative offer of employment. The 80-day period covers both the investigation and the adjudication, with each phase taking approximately 40 days.
20
Q
OPM role:
A
Has overall responsibility for suitability
Oversees agency adjudications
21
Q
OPM responsibilities:
A
May delegate suitability authority to agency
Adjudicates cases involving material, intentional false statement, deception, or fraud
in examination or appointment or evidence of a refusal to furnish testimony
Issues government-wide debarments
Conducts investigations for some federal agencies
22
Q
OPM Systems provides:
A
OPM provides several systems that support the overall suitability process.
23
Q
Define Position Designation Automated Tool (PDT)
A
OPM developed the PDT to ensure a systematic and consistent position designation process. The PDT is a standalone tool that agencies and components use to assess a position’s level of risk and sensitivity to determine the position’s designation. That designation determines the type of investigation required for the position.
24
Q
Define Electronic Questionnaires for Investigations Processing system (e-QIP)
A
e-QIP, or its successor system, electronic application, e-APP, is a secure, web-based system that completely automates the application process. Authorized individuals use it to initiate investigations. Subjects then use it to enter their personal information directly into the system.
25
Define Central Verification System (CVS)
The CVS is OPM’s centralized database supporting reciprocity and information sharing within the federal government. The CVS houses information on all types of investigations and adjudications, including those used to support suitability and fitness determinations.
26
Personnel Investigations Processing System (PIPS)
OPM’s PIPS system maintains the Security/Suitability Investigations Index, or SII, a centralized database that records investigations conducted by OPM and other authorized investigative agencies.
PIPS provides an agency or component’s security office direct access to OPM records and allows agencies to monitor the progress of their cases and report adjudicative decisions.
27
Position Designations fall on who?
The responsibility for position designation falls to the agency or component’s hiring manager, who will receive guidance from the Human Resources office and, as appropriate, security personnel.
28
T or F: Every covered position must be designated as low, moderate, or high risk.
True
29
SF 85
The Questionnaire for Non-sensitive Positions
30
SF 85P
The Questionnaire for Public Trust Positions
31
SF 86
The Questionnaire for National Security Positions.
32
Initiating the Investigation: Note that the investigation should be initiated before appointment or within ____ days of placement in the position.
14 days
33
T or F: DCSA is responsible for conducting investigations at all five tiers
True
34
T or F: Tiers 1, 2, and 4 are the investigations designated for suitability determinations.
True
35
T or F: Tiers 3 and 5 are used for national security positions to grant eligibility to classified information and/or assignment to a national security sensitive position.
True
36
Tier ____ investigations are conducted for positions designated as low risk, non-sensitive, and for physical and logical access—that is, HSPD-12 credentialing. The investigative form is the Standard Form (SF)-85.
Tier 1
37
Tier ____ investigations are conducted for positions designated as non-sensitive, moderate risk public trust. The investigative form is the SF-85P.
Tier 2
38
Tier ____ Investigations are conducted for positions designated as non-critical sensitive, and/or requiring Confidential, Secret or "L" access eligibility. The investigative form is the SF-86.
Tier 3
39
Tier ____ investigations are conducted for positions designated as non-sensitive high risk public trust. The investigative form is the SF-85P.
Tier 4
40
Tier _____ 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, or SCI.
Tier 5
41
T or F: Per the FIS, periodic reinvestigation for Tier 2 and Tier 4 are conducted at least once every five years. Tier 1 does not have a mandatory reinvestigation requirement.
True
42
Probative Weight of Evidence (5 types):
1. Sworn witness testimony at hearing
2. Signed, sworn affidavits
3. Unsworn declarations
4. Certified records
5. Investigative reports
43
T or F: Once DCSA completes the investigation, it forwards the results to the DOD Consolidated Adjudications Facility or CAF for adjudication.
True
44
8 Suitability Factors (5 CFR 731.202)
1. Misconduct or Negligence in Employment
2. Criminal or Dishonest Conduct
3. Material Intentional False Statement, or Deception, or Fraud in Employment
4. Refusal to Furnish Testimony as required by 5 CFR 731, section 5.4
5. Alcohol Abuse
6. Illegal Drug Use
7. Knowing and Willful Engagement in Acts/Activities Designed to Overthrow the U.S. Government by Force
8. Statutory or Regulatory Bar to Employment
45
Every suitability adjudication will result in one of two possible outcomes. What are they?
The subject will be found suitable, or the subject will be found unsuitable for federal employment.
46
T or F: All suitability determinations, whether favorable or unfavorable, must be reported to OPM and documented within the appropriate personnel system of record for your agency or component.
True
47
T or F: OPM may also take action against employees who are found unsuitable due to falsification, refusal to furnish testimony, or a statutory or regulatory bar to employment.
True
In order for OPM or the agency or component to take a suitability action, the position must be subject to investigation under 5 CFR Part 731.
48
The first step in taking a suitability action is to notify the subject of the proposed action. One must inform he subject how the time limit in which they have to respond (how many days)?
It must inform the subject of the 30-day time limit in which to respond. And it must inform the subject of his or her right to representation. The notice of proposed action must be served no less than 30 days before the effective date of the proposed action
49
First, all positions of public trust are subject to mandatory periodic reinvestigations every _____ years.
Five
50
T or F: Personnel changes that do not require reinvestigation include promotion, demotion, and reassignment, as long as the risk level remains the same.
True
51
The purpose of suitability adjudications is to ensure that all applicants, appointees, and employees of the federal government ____________.
Are suitable to perform duties of the position
Are trustworthy
Demonstrate high standards of conduct
Are of good character and reputation
Feedback: The purpose of suitability adjudications is to ensure all applicants, appointees, and employees of the federal government demonstrate high standards of conduct, are of good character and reputation, are trustworthy, and are suitable to perform the duties of the position. Ensuring DOD employees are qualified to perform their job duties is not a purpose of suitability adjudications.
52
1 of 5: Which element of the suitability process involves gathering information on the subject’s background to meet the investigative requirements of the position?
Investigation
Feedback: During the investigation, an investigator gathers information on the subject’s background to meet the investigative requirements of the position.
53
2 of 5: Which element of the suitability process involves evaluating a position’s levels of risk and sensitivity to determine the type of investigation required?
Position designation
Feedback: During the position designation, DOD personnel evaluate the position’s levels of risk and sensitivity to determine what type of investigation is required.
54
3 of 5: Which element of the suitability process occurs as needed based on factors, such as risk-level changes, reemployment, or the discovery of new information?
Reinvestigation
Feedback: Reinvestigation occurs as needed based on changes in a position’s risk or sensitivity, reemployment, or discovery of new information
55
4 of 5: Which element of the suitability process applies suitability criteria to the subject’s investigation to make a suitability determination?
Adjudication
Feedback: During the adjudication, an adjudicator applies suitability criteria to the subject’s investigation to make a suitability determination.
56
5 of 5: Which element of the suitability process involves reviewing employment documents and other pre-investigative materials for potential suitability issues?
Pre-investigation
Feedback: A pre-investigation review, called the Applicant Suitability Review and Evaluation, is conducted based on the applicant’s employment documents and other pre- investigation materials. If the review is favorable, the applicant completes the appropriate investigative forms, which DOD personnel also review for potential suitability issues.
57
What would you consult for regulations governing suitability adjudications?
Title 5, Code of Federal Regulations, part 731
Feedback: Title 5 CFR Part 731 outlines OPM regulations for suitability investigations and adjudications.
58
1 of 4: Which phase of the suitability process involves adjudicating a subject’s investigation based on suitability criteria?
Adjudication
Feedback: The phase that adjudicates the subject’s investigation based on suitability criteria is called the Adjudication phase.
59
2 of 4: Which phase of the suitability process includes position designation, prescreening, and initiation of the investigation?
Pre-investigation
Feedback: The phase that includes position designation, prescreening, and initiation of the investigation is the Pre-investigation phase.
60
3 of 4: Which phase of the suitability process includes reinvestigation and suitability actions?
Post adjudication
Feedback: The phase that includes reinvestigation and suitability actions is the Post adjudication phase.
61
4 of 4: Which element of the suitability process investigates a subject’s background based on position requirements?
Investigation
Feedback: The phase that investigates subject’s background based on the requirements of the position is the Investigation phase.
62
Who performs the adjudicative responsibilities listed below? Maintains the CVS database
OPM
Feedback: Maintaining the CVS database is a responsibility of OPM.
63
Has the authority to issue a government-wide debarment
OPM
Feedback: Issuing a government-wide debarment is an OPM responsibility.
64
Adjudicates cases involving deception or fraud in examination or appointment
OPM
Feedback: Adjudicating cases involving deception or fraud in examination or appointment is an OPM responsibility.
65
T or F: e-QIP is used to initiate all investigations.
True
66
Which system is the information system that manages security clearance eligibility, suitability and HSPD-12 actions and determinations for the DOD?
Defense Information System for Security (DISS)
Feedback: DISS is DOD’s information system that manages security clearance eligibility, suitability and HSPD-12 actions and determinations.
67
Which system is used to determine what type of investigation will be required based on the position’s levels of risk and sensitivity.
Position Designation Automated Tool (PDT)
68
The ____ is OPM’s key centralized database supporting reciprocity and information sharing within the federal government. Agencies should check the ____ to see whether an existing adjudication or investigation meets the current need.
Central Verification System (CVS)
Central Verification System (CVS)
69
1 of 6: The purpose of this step is to discover any presumptively disqualifying information before conducting a full investigation.
Prescreening
Feedback: The purpose of the prescreening step is to discover any presumptively disqualifying information before conducting a full investigation.
70
2 of 6: The position description is reviewed during this step.
Position Designation
Feedback: The position description is reviewed as part of the position designation process.
71
3 of 6: During this step, the applicant enters personal information into e-QIP.
Initiation of investigation
Feedback: The applicant enters his or her personal information into e-QIP during the initiation of the investigation.
72
4 of 6: The purpose of this step is to determine what type of investigation will be required.
Position designation
Feedback: The purpose of position designation is to determine what type of investigation will be required.
73
5 of 6: The applicant’s resume and employment references are reviewed during this step.
Prescreening
Feedback: The applicant’s resume and employment references are reviewed as part of the prescreening process.
74
6 of 6: A position’s levels of risk and sensitivity are assessed during this step.
Position Designation
Feedback: A position’s levels of risk and sensitivity are assessed as part of the position designation process.
75
What are responsibilities of individuals within the agency or component?
Position designation (correct response)
Prescreening the applicant (correct response)
Initiating investigation in e-QIP (correct response)
Reviewing e-QIP application for completeness (correct response)
Feedback: Position designation, prescreening, initiating the investigation, and reviewing the applicant’s e-QIP application are all responsibilities of the agency or component. Entering personal information into e-QIP is a responsibility of the applicant.
76
A positions that need physical/logical access (HSPD-12 Credentialing) require a
Tier ____ investigation.
One (1)
77
Which Tier ____ is the appropriate investigation for non-sensitive, high risk public trust positions.
Four (4)
78
Non-sensitive, moderate risk public trust positions require what Tier ___ investigation.
Two (2)
79
There is no requirement for periodic reinvestigation at what Tier ____ , i.e., for non-sensitive, low risk positions or HSPD-12 credentialing.
One (1)
80
T or F: The standard of evidence for suitability cases maintains that the evidence must establish the conduct, the government has the burden of proof, and all facts must be supported by a preponderance of evidence. It does not require that facts be proven beyond a reasonable doubt
True
81
Name several types of suitability actions?
Cancellation of eligibility (correct response)
Cancellation of reinstatement eligibility (correct response)
Debarment from DOD employment
Removal from position (correct response)
Feedback: Cancellation of eligibility, cancellation of reinstatement eligibility, removal from position, and debarment from DOD employment are all types of suitability actions. Non- selection for a position and withdrawal of a job offer are NOT suitability actions.
82
T or F: Both OPM and the agency/component can issue a notice of proposed action. The only difference is that OPM notices must be sent to the agency/component as well as the subject.
True
83
Both the subject of the action and the employing agency/component can file a response to an OPM notice of proposed action.
True
84
T or F: Reinvestigation is required for cases involving demotion as long as the risk
level does not increase.
False
85
T or F: Reinvestigation is required in cases of reemployment after a break in service of
more than two years.
True
86
T or F: Reinvestigation is required when an existing position is re-designated at a higher
risk level or an existing employee is hired into a higher-risk position.
True
87
T or F: Reinvestigation is not required for cases involving promotion as long as the risk
level does not increase.
True
88
The fundamental purpose of HSPD-12 credentialing is to
ensure that all personnel who are issued credentials for long-term access to federal facilities and information systems meet certain security requirements. Within the DOD, this identity credential is known as the Common Access Card (CAC).
89
T or F: For those current employees, contractors, and applicable individuals who have a valid Personal Identity Verification (PIV) card or a CAC from their former department or agency, reciprocity does not applies.
False
Feedback: reciprocity does apply.
90
The purpose of reciprocity is to?
The purpose of reciprocity is to prevent an individual from needing to undergo repeated investigations. In order for reciprocity to apply, the valid PIV card or CAC must be verified by the individual’s former department or agency.
91
The purpose of HSPD-12 adjudications is to ensure that all applicants for a CAC____________.
Are not terrorists and do not provide an avenue for terrorism
Do not pose an unacceptable risk to the life, safety, or health of employees, contractors,
vendors, and visitors
92
Which document would you consult for DOD investigative and adjudication guidelines for HSPD-12 credentialing?
DODI 5200.46
93
Adjudication is the evaluation of reliable and relevant information to determine—
* Eligibility to access classified information or perform sensitive duties
* Suitability or fitness for Federal employment
* Eligibility to access DOD facilities or information systems
94
Types of adjudications -
* National security adjudications
* Suitability adjudications
* HSPD-12 adjudications
95
Relationship between adjudications -
* Each type of adjudication has distinct purposes and criteria
* HSPD-12 adjudications are based on a minimum level of risk and sensitivity
* If an applicant requires an employment or national security determination, then HSPD-12 adjudication is inherent in either of those determinations
96
Ensure that all individuals granted a CAC—
* Are not known or appropriately suspected terrorists and do not provide an avenue for terrorism
* Do not pose an unacceptable risk to DOD assets
97
Name 5 Regulatory Foundations
* HSPD-12
* OMB M-05-24
* FIPS 201-1
* OPM Memorandum: Final Credentialing Standards for Issuing Personal Identity Verification Cards under HSPD-12
* DODI 5200.46
98
Component Adjudicator Role:
• Review applications and background investigations
• Apply HSPD-12 credentialing standards
• Make HSPD-12 interim decisions
• Make final credentialing determination if CAF Adjudicator is unable to make a favorable
decision
99
CAF Adjudicator Role:
• Review applications and conduct initial review of background investigations
• Apply HSPD-12 credentialing standards
• Return case to Component Adjudicator for final decision, if unable to make favorable
determination
100
Investigative Service Provider Role:
• Conduct investigation
• Provide results to DOD (DCSA is the Investigative Service Provider for most DOD
agencies)
101
DOD Card Issuance Facility Role:
* Complete identity proofing and registration
| * Issue CACs
102
What system completely automates the application process by allowing individuals to enter their personal information directly into the system and then uses that information to complete the required investigative forms
e-QIP
103
What system is OPM’s centralized database supporting reciprocity and information sharing within the federal government. The system captures and maintains information on all types of investigations and adjudications.
The Central Verification System (CVS)
Note: CVS is the system of record for HSPD-12.
104
The DOD also has its own centralized databases and systems to support HSPD-12 adjudications. (name three)
- The Defense Information System for Security (DISS)
- The Defense Enrollment Eligibility Reporting System (DEERS)
- Real-time Automated Personnel Identification System, or RAPIDS,
105
The Defense Information System for Security (DISS) is a
centralized database that securely connects DOD security personnel around the world. It is used extensively by DOD adjudicators to record national security adjudicative actions and determinations.
106
The Defense Enrollment Eligibility Reporting System, or DEERS
DEERS is the definitive source for personnel identity data and registration for the DOD
107
The Real-time Automated Personnel Identification System, or RAPIDS
RAPIDS relies on information stored in DEERS and is used to issue DOD CACs
Note: In the future, RAPIDS will interface with DISS to verify that a favorable determination is made before issuing the CAC.
108
HSPD-12 Basic Standards
```
HSPD-12 Basic Standards
• Terrorism
• Problems with identity verification
• Fraudulent identify information
• Unauthorized access concerns
• Unlawful or inappropriate use of identity credentials
• Unlawful, unauthorized, or inappropriate use, modification, corruption, or destruction of
federally-controlled information systems
```
109
HSPD-12 Supplemental Standards
```
• Misconduct or negligence in employment
• Criminal or dishonest conduct
• Material, intentional false statement, deception, or fraud in connection with federal or
contract employment
• Alcohol abuse
• Drug use
• Statutory or regulatory bar
• Treasonous acts or activities
```
110
Interim CAC Review (4 steps)
Step 1: Verify Investigation Is Scheduled
Step 2: Receive FBI National Criminal History Check
Step 3: Apply HSPD-12 Standards
Step 4: Make Interim Determination
111
What is the third phase of the HSPD-12 process?
investigation phase
112
What is the fourth phase of the HSPD-12 process?
adjudication phase
113
Pre-investigation
```
• Determine requirement for CAC
• Identity proofing and registration
• Initiation of investigation
o Check for previous investigations
o Initiate application
o Collect fingerprints
o Submit application to ISP
```
114
Investigation
* Gathering of information on the subject’s background to meet the investigative requirements for obtaining a CAC
* Tier 1 or greater required for HSPD-12
115
Adjudication
* Apply HSPD-12 credentialing standards to investigative results • Make final CAC credentialing determination
* Hold due process proceedings (if applicable)
* Record the final determination
116
Applicant
* Provide identification
* Complete application online
* Have fingerprints taken
* In-person visit to card issuing facility to receive CAC
117
Component Adjudicator
• Review applications and background investigations
• Apply HSPD-12 credentialing standards
• Make HSPD-12 interim decisions
• Make final credentialing determination if CAF Adjudicator is unable to make a favorable
decision
118
CAF Adjudicator
* Review applications and conduct initial review of background investigations
* Apply HSPD-12 credentialing standards
* Return case to Component Adjudicator for final decision, if unable to make favorable determination
119
ISP - Investigative service provider
* In most cases, DCSA
* Conduct investigation
* Provide results to component
120
DOD Card Issuance Facility
* Use of DEERS/RAPIDS
* Conduct identity proofing and registration
* Issue CACs
121
e-QIP - Electronic Questionnaires for Investigations Processing
• Automates application process
122
CVS - Central Verification System
* Owned and managed by OPM
* Stores information on investigations and adjudications
* Key to ensuring reciprocity
123
DISS - Defense Information System for Security
* Securely connects DOD security personnel around the world
* Stores national security adjudicative actions and determinations
* Contains a shell indicating whether investigation has been scheduled
* Will store national security, suitability, and HSPD-12 determinations
124
DEERS/RAPIDS - Defense Enrollment Eligibility Reporting System, Real-time Automated Personnel Identification System
* DEERS: definitive data source of DOD personnel identity verification
* RAPIDS: used to verify identity and issue the CAC
125
Due process proceedings are held (determine when it occurs in the phases of the HSPD-12 process.)
Adjudication
126
Conducted by the DCSA for the DOD (determine when it occurs in the phases of the HSPD-12 process.)
Investigation
127
Identity proofing and search for previously conducted investigations (determine when it occurs in the phases of the HSPD-12 process.)
Pre-investigation
128
Review of the application and FBI criminal history report
| (determine when it occurs in the phases of the HSPD-12 process.)
Interim CAC Review
129
Conducts identity proofing and registration
DEERS/RAPIDS
130
Completes the SF-85 using the e-QIP system
Applicant
131
Conducts the investigation and provides the investigation results
ISP
132
Applies the HSPD-12 standards and makes an interim and, if necessary, final CAC determination
Component Adjudicator
133
Used to issue the applicant’s CAC
DEERS/RAPIDS
134
Contents of OF-306
* Biographical information
* Selective Service and military history
* Background information
* Additional questions/continuation space
135
e-QIP forms, or subsequent electronic version,
• Basis for the investigation
• Applicant completes SF-85, SF-85P or SF-86, depending on position held or being sought
• Applicant completes
o Form in e-QIP, or subsequent electronic version, OR
o Paper-based version of form
o Contains biographical and other information important to adjudication process
136
Overview of National Criminal History Report
• Generated by FBI
• Entire report must be read since HSPD-12 adjudication decision affects
- Risk to DOD assets
- Applicant’s ability to gain employment
• DCSA Case Closing Transmittal Sheet attached
• Components include:
- Cover Sheet and FBI Identification Record
- Arrest information
137
The Report of Investigation (ROI) contains the results of the investigation. The ROI is comprised of:
• The Case Closing Transmittal is the cover sheet and provides a summary of the results of the investigation.
• Optional Form 306 (Declaration for Federal Employment)
• Standard Form 85 (Questionnaire for Non-Sensitive Positions) is used to apply for a
CAC.
• FBI National Criminal History Report
If there are any issues with the results of the investigation, such as with any of the checks or written inquiries, the supporting documentation is included in the ROI
138
Report of Investigation
The Report of Investigation (ROI) contains the results of the investigation.
139
Case Closing Transmittal
The Case Closing Transmittal is the cover sheet and provides a summary of the results of the investigation.
140
OF-306
Optional Form 306, Declaration for Federal Employment
141
SF-85 - Standard Form 85
Standard Form 85 (Questionnaire for Non-sensitive Positions) is used to apply for a CAC.
142
FBI National CHR
- FBI National Criminal History Report
Support Documents - If there are any issues with the results of the investigation, such as with any of the checks or written inquiries, the supporting documentation is included in the ROI.
143
FBI National Criminal History Check
– checks on criminal history
144
Local Agency Checks
– Checks on history with law enforcement agencies
| covering applicant’s employment, residence, and education
145
Security and Suitability Investigations Index (SII) -
Investigations previously conducted by OPM or other non-DOD Federal investigative agencies
146
Defense Central Index of Investigations (DCII) -
Investigations previously conducted by DOD
147
Contents of OF-306 (investigative form):
* Biographical information
* Selective Service and military history
* Background information
* Additional questions/continuation space
148
Overview of e-QIP forms (investigative form):
• Basis for the investigation
• Applicant completes SF-85, SF-85P or SF-86, depending on position held or being sought
• Applicant completes
o Form in e-QIP, OR
o Paper-basedversionofform
• Contains biographical and other information important to adjudication process
149
SEAD 3
Reporting Requirements for Personnel with Access to Classified Information or Who Hold a Sensitive Position, establishes reporting requirements for all covered individuals who have access to classified information or hold a sensitive position.
150
SEAD 4
National Security Adjudicative Guidelines, establishes the single, common adjudicative criteria for all covered individuals who require initial or continued eligibility for access to classified information or eligibility to hold a sensitive position.
151
SEAD 6
Continuous Evaluation, reforms processes related to suitability for government employment, fitness for contractor employees, and eligibility for access to classified national security information.
152
DoD Instruction 5200.02
The Personnel Security Program, establishes policies, assigns responsibilities, and prescribes procedures for the DoD Personnel Security Program, or PSP.
153
Federal Investigative Standards (FIS)
directed development of a five-tiered investigative model. This model established standard requirements for conducting national security background investigations to determine eligibility for access to classified information, to hold a national security sensitive position, for Federal Government employment, and access to Federal Government-controlled facilities.
154
Hatch Act of 1939
imits certain political activities of Federal employees. It ensures administration of federal programs in a nonpartisan fashion. Moreover, the Hatch Act protects Federal employees from political coercion in the workplace. It makes certain that Federal employees receive advancement based on merit and not based on political affiliation.
155
System that required allegiance to a political party and not the Constitution
Spoils System
156
Character traits looked for in a government employee
Loyal, trustworthy, reliable
157
Employees appointed based on ability
Civil Service Act
158
Protects federal employees from political coercion in the workplace
Hatch Act of 1939
159
Authorizes the continued evaluation of personnel who hold an active national security eligibility determination.
Executive Order 13467
160
Establishes adjudicative criteria for covered individuals who require eligibility for access to classified information or eligibility to hold a sensitive position.
SEAD 4
161
Maintains that DoD and Agency employees are reliable and trustworthy.
Executive Order 10865
162
Establishes the policy, assigns responsibilities, and prescribes procedures for the DoD Personnel Security Program.
DoDI 5200.02
163
An assessment of a position’s potential impact on the national security
Designation
164
A national security eligibility determination made by evaluating the information in the
national security background investigation against national standards
Adjudication
165
A part of the CE Program that happens at certain intervals based on position designation or access.
Reinvestigation
166
A report used to make a national security eligibility determination
Investigation
167
A process that monitors employees for new information or changes that could affect an individual’s national security eligibility
Continuous Evaluation
168
_______ national security positions are civilian national security positions that may potentially cause inestimable damage to the national security or adverse impact to the efficiency of the DoD or military services.
Special-sensitive
169
________ positions are civilian national security positions that have the potential to cause exceptionally grave damage to the nation’s security, including but not limited to, positions requiring eligibility for access to Top Secret or DOE “Q” level classified information, positions involving development or approval of war plans, major or special operations of war, or critical and extremely important items of war, national security policy-making or policy-determining positions,
Critical-sensitive
170
________ positions can cause significant damage to national security, including positions requiring eligibility for access to Confidential, Secret, or DOE "L" level information, positions not requiring eligibility for access to classified information, but having potential to cause significant or serious damage, positions requiring access to automated systems that contain military active duty, guard, or reservists’ personally identifiable information, and positions designated by the DoD Component head.
Noncritical-sensitive
171
If a position does not meet the criteria for any of the other position sensitivity levels, it is designated as ________ .
________ positions do not require access to classified information or performance of national security sensitive duties. These positions pose no potentially adverse effects on national security.
Nonsensitive
172
_________ programs cover a variety of areas, including Presidential support activities, Yankee White; NATO; Nuclear Personnel Reliability Program also known as Nuclear PRP; Sensitive Compartmented Information also known as SCI; Nuclear Command and Control – Extremely Sensitive Information or NC2-ESI; and Chemical PRP.
Special Access Program
173
What _________ process begins once a personnel security investigation is completed by the ISP and sent to the CAF for an eligibility determination.
adjudicative
174
________ is currently the centralized database for DoD adjudicative actions and determinations. What is the DoD system that connects security personnel around the world with a database managed by Defense Manpower Data Center (DMDC).
JPAS
175
What secure electronic system captures and submits fingerprint images in support of the national security background investigation process. This system expedites the process and provides end-to-end accountability for personally identifiable information.
The Secure Web Fingerprint Transmission (SWFT)
176
Name the federal-wide information technology service. This service is used to conduct suitability, security, and will house all systems-identified data associated with credentialing investigations for all Federal civilians, military service members, and government contractors.
The National Background Investigation System (NBIS)
177
T or F: Minimum requirements for interim Top Secret eligibility are a favorable completion of all requirements cited for interim Secret or Confidential eligibility and favorable completion of a National Agency Check.
True
178
Which level (tier) of investigation would someone need to receive eligibility to access Top Secret information?
Tier 5
179
Which level (tier) investigation would a person need if their position only required eligibility for Confidential access?
Tier 3
180
Only specially authorized DoD records depositories store background investigation records. Favorable records are destroyed after _____ years.
15 years
181
Records resulting in unfavorable administrative action or court-martial wait for ____ years before destruction.
25 years
182
T or F: The purpose of continuous evaluation is to identify potential issues that could affect an individual’s national security eligibility.
True
183
T or F: The continuous evaluation process is the uninterrupted assessment of an individual for the retention of a job.
False
184
T or F: Information about an individual who has national security eligibility is monitored continuously.
True
185
T or F: Once a person receives national security eligibility, they are no longer subject to an investigation.
False
186
Reportable Activities: Foreign Activities:
Direct involvement in foreign business
Foreign bank accounts
Ownership of foreign property
Application for, and receipt of, foreign citizenship
Application for, possession, or use of a foreign passport or identify card for travel
Voting in a foreign election
Adoption of non-U.S. citizen children
187
Other Reportable Activities include:
Cohabitants
Marriage
Financial Anomalies: Including, but not limited to, bankruptcy, garnishment; over 120
days delinquent on any debt; and any unusual infusion of assets of $10,000 or greatersuch as an inheritance, winnings or similar financial gain
Foreign National Roommate(s): Any foreign national(s) who co-occupies a residence for
a period of more than 30 calendar days
188
Security specialists take part in four different types of briefings:
Initial, annual, insider threat, and termination. Personnel assigned to sensitive duties receive security briefings on the national security implications of their duties and their individual responsibilities.
189
Who is the sole authority to determine security clearance eligibility of non- Intelligence.
Consolidated Adjudications Facility (CAF)
190
The level of character and conduct determined necessary for an individual to perform work for or on behalf of a Federal agency as an employee in the excepted service (other than a position subject to suitability) or as a contractor.
Fitness
191
Program established to ensure that only loyal, trustworthy, and reliable individuals are granted access to classified information or assignment to a sensitive position.
Personnel Security Programs (PSP)
