SAPPC - Personnel Security Flashcards
Five Elements of the Personnel Security Program (PSP)
Designation Investigation Adjudication Reinvestigation Continuous Evaluation
Designation
An assessment of a position’s potential impact on the national security
Investigation
An inquiry made by an authorized investigative agency into an individual’s activities for the purpose of making a personnel security determination
Adjudication
Judgment concerning security clearance eligibility made by evaluating the information in the Personnel Security Investigation (PSI) with DoD standards
Reinvestigation
Done at certain intervals based on duties or access and as part of the Continuous Evaluation Process
Continuous Evaluation
Used to monitor employees for new information or changes that could affect status
Privacy Act of 1974
Regulates the federal government’s authority to collect personal information on an individual and limits the use of information collected for specific purposes
Purpose of the Personnel Security Program
To make a reasonable determination that individuals grated access to classified information or assigned to sensitive positions are and will remain loyal, trustworthy and reliable
Two elements of National Security
National Defense
Foreign Relations
Hatch Act
Requires federal employees to be loyal to the United States
Executive Order 12968
Standardizes procedures for DoD personnel security policy
Security Clearance Eligibility
A favorable determination that an individual is eligible for access to classified information or assignment to sensitive duties at specific levels prior to access being granted
Who controls Access?
Always controlled by the holder of the information. Ensures the person seeking access has the proper security clearance eligibility and a valid need to know in order to carry out official duties
Designation/Position - Special Sensitive
- Civilian national security position
- Potential for inestimable damage to national security
- Includes eligibility/access to SCI and SAP
- Can be any civilian position the DoD Component head determines to be at higher level than critical-sensitive due to special requirements
Designation/Position - Critical Sensitive
- Civilian national security position
- Potential to cause exceptionally grave damage to national security
- Includes Top Secret access, Fiduciary duties (obligation, expenditure, collection or control of revenue, funds, or items with value over $50 million)
Designation/Position - Noncritical Sensitive
- Civilian national security position
- Potential to cause significant or serious damage to national security
- Includes access to Confidential, Secret, or DOE “L”
Designation/Position - Nonsensitive
- No sensitive job duties and/or need for access to classified information
- Position does not have the potential to adversely impact national security
Restrictions of Limited Access Authorization (LAA)
- Investigative requirement is a Tier 5
- Access is limited to the approved program or project
- Access outside of the approved program or project is a compromise and must be handled as such
- Info must be releasable to the applicant’s home country
- Access is limited to Secret information or lower
- Can be civilian, military, or contractor personnel
Limited Access Authorization (LAA)
Authorization for non-U.S. citizen to be granted access to classified information. Non-US citizens are not granted security clearance eligibility.
Examples of Positions Not Requiring Access to Classified Information that may require a security investigation
Red Cross and/or United Service Organizations personnel
Non-U.S. citizens employed by DoD components overseas
Personnel occupying some IT or related positions
Nuclear Personnel Reliability Program (PRP)
Ensures each person performing duties associated with nuclear weapons or nuclear command and control systems and equipment is emotionally stable, physically capable and has demonstrated reliability and professional competence
Restricted Data
- All information concerning the design, manufacture, or use of atomic weapons, the production of special nuclear material, or the use of special nuclear material in the production of energy
- An additional warning notice of special handling requirements
- Not a Special Access Program or a classification category
Requirements of Critical Nuclear Weapon Design Information (CNWDI)
- Access limited to the absolute minimum of people who need it to accomplish their job duties
- Minimum required security clearance is Top Secret or Secret
- Except in rare instances, U.S. citizenship is required for access
- Exceptions granted by the Secretary of Defense or designee
Name 5 of the 9 areas SAP programs cover
Special Access Programs
Presidential Support Activities
Nuclear Personnel Reliability Program (Nuclear PRP)
Sensitive Compartmented Information (SCI)
Nuclear Command and Control – Extremely Sensitive Information (NC2-ESI)
Chemical PRP
NATO
Name 3 of the 6 main duties of a Security Officer
- Prepare and request personnel security investigations
- Evaluate information for interim security clearances
- Administer the continuous evaluation program
- Train personnel on the requirements for the personnel security program
- Conduct briefings for personnel on the necessity of protecting classified information
- Assist in determining sensitivity for both access and assignment to sensitive duties
What is included in an Initial briefing?
- Importance of classified information
- Proper ways to protect classified information
- How to perform duties that require access
- Potential security concerns with foreign intelligence services
- Procedures to report any issue associated with the protection of classified information
What is the purpose of the Annual/Refresher briefing?
- Remind people of responsibilities under the personnel security program
- Inform of any changes in the personnel security program since last briefing
- Reinforce good security practices
- Remind people of the continuing need to follow the rules
What are the goals of the Insider Threat briefing?
- Stress importance of detecting potential insider threat
- Make individuals aware of insider threat indicators and reporting requirements
- Provide information on methods used by adversaries to recruit trusted insiders
What is included in the Termination briefing?
- How to protect classified information
- How intelligence services may target personnel after they have left federal service
- Legal obligation/requirements to protect classified information
- Criminal penalties for unauthorized disclosure of information
- How to report problems
- The need for written approval from the agency before any disclosure
e-Qip Process
The security office initiates a personnel security questionnaire using e-QIP.
The individual being investigated must complete the e-QIP.
The security office reviews and approves the questionnaire.
The security office forwards it to the NBIB or PSMO-I.
Clearance Process Steps/Phases
- Personnel security investigation (PSI) is initiated and completed on an individual
- PSI is forwarded to the Department of Defense Consolidated Adjudications Facility (DoD CAF)
- The DoD CAF reviews the information in the PSI and compares it to national adjudication standards
- The DoD CAF makes a determination and either grants a security clearance eligibility or not
Personnel Security Investigation (PSI)
- An inquiry into an individual’s background, activities, and personal behavior
- Allows adjudicators to look closely at important information about an individual’s honesty, reliability, character, loyalty, and trustworthiness.
- Used to determine the eligibility of an individual for access to classified information, acceptance or retention into the armed forces, assignment or retention in sensitive duties, or other designated duties requiring investigation.
When the federal government collects personal information from an individual, it is required that the
individual be informed of what four things?
- Authority - Under what authority is the government agent or representative collecting the information?
- Principle Purposes - The purpose for collecting the information.
- Routine Uses - The routine uses of the information.
- Voluntary or Mandatory Nature of Disclosure - Whether providing this information is voluntary or mandatory, and what would be the impact of choosing not to provide the information?
Reciprocity
Refers to the mutual acceptance of a personnel security clearance eligibility by all government agencies, regardless of which agency issued the clearance
When is a previously cleared individual subject to a new investigation or adjudication?
- The previous clearance eligibility was based on an outdated investigation
- New derogatory information has become available since the previous investigation
- There was a break of more than 24 months in the individual’s relationship with the DoD
- The previous investigation does not meet the
scope required
2 main components of DISS
DISS Portal
Case Adjudication Tracking System (CATS)
Case Adjudication Tracking System (CATS)
Designated as the DoD Case Adjudication Tracking System for all non-intelligence activities. Used by DoD CAF adjudicators to review electronic PSIs completed by the National Background Investigations Bureau (NBIB). With CATS the adjudicator can record eligibility and can recommend access determinations.
Requesting PSI Guidelines
- Limit PSI requests to personnel who are essential to current operations.
- Limit PSI requests on military personnel to those individuals with sufficient time left in the service to warrant conducting the investigation.
- Complete all request forms and required documentation properly and IAW instructions.
- Government personnel submit their e-QIP to the National Background Investigations Bureau (NBIB)
- Industry submits their request through Personnel Security Management Office for Industry (PSMO-I)
- Limit access through strict need-to-know.
- Keep priority case requests to a minimum – only
authorized individuals may request a PSI.
Who can request PSI?
Authorized individuals include:
- Military Departments
- Defense Agencies
- Organization of the Joint Chiefs of Staff
- Office of the Secretary of Defense
- Commanders of Unified and Specific Commands
- Requesters approved by the Deputy Under Secretary of Defense for Policy
Who can waive investigative requirements for sensitive positions or access to classified information?
Military/Civilian Personnel
- Commander, agency head, head of the component or the adjudicative authority
Contractor Personnel
- Director, CI and Security Programs, Office of the Deputy Asst Sec of Defense (I&S), Office of General Counsel, Office of the Secretary of Defense
PSI Type/Investigation Tier: Tier 5
Background Investigation and Reinvestigation -Military, Contractors, and Civilians: Special-Sensitive positions Critical-Sensitive positions Top Secret clearance eligibility SCI clearance eligibility
Single Scope Background Investigation (SSBI) applies to whom?
Military, Contractors, and Civilians • Special-sensitive positions • Critical-sensitive positions • Top Secret and SCI clearance eligibility • IT-I duties • LAA
Access National Agency Check and Inquiries (ANACI) applies to whom?
Civilians
• Non Critical-Sensitive positions
• Secret or Confidential clearance eligibility
• IT-II duties
National Agency Check with Law and Credit (NACLC) applies to whom?
Military and Contractors
• Secret or Confidential clearance eligibility
• All military accessions and appointments
• IT II duties
• IT III duties (military only)
Phased Periodic Reinvestigation (PPR)
Military, Contractors, and Civilians
Phase 1: determines whether Phase 2 is necessary
Phase 2: only performed if Phase 1 yields issue-relevant information
*Same as SSBI-PR but more efficient
What happens if the individual who is being investigated refuses to provide information or sign a release?
The processing may be halted. If the individual currently has a security clearance or is assigned to other sensitive duties, the CAF could start action to revoke the individual’s security eligibility.
Purpose of an investigative report
Allows adjudicators to get a comprehensive view of the individual and to make a sound decision regarding the person’s suitability for a position of trust, eligibility for access to classified information, and entry or retention in the military or government service.
Procedures to protect PSI and personnel security records
- An authorized requester is responsible for the control and accountability of any reports it receives.
- Any information regarding an individual’s personnel security clearance status must be protected.
- The reproduction of PSI reports is restricted to the minimum number of copies required to perform official duties.
- PSI reports must be stored in a secured container, such as a vault or safe.
- PSI reports must be sealed in double envelopes when being transmitted by mail or courier.
Who has access to PSI records?
Outside of the DoD -
Released only with the specific approval of the investigative agency with authority over the reports.
Within the DoD -
Limited to designated DoD officials who require access for official personnel security duties. Subjects of PSIs may have access to their own PSI information.
PSI Report Retention
Stored in DoD records repositories that are authorized to store PSI reports.
Favorable reports are destroyed after 15 years.
Reports of a minor derogatory nature are destroyed after 15 years.
Reports resulting in unfavorable administrative action or court-martial are destroyed after 25 years
Disposition of PSI Reports
These reports are the property of the investigating organization and are provided to the requesting organization as a loan.
DoD recipient organizations requesting PSI reports may retain them for only the time necessary to fulfill the originally requested official purpose.
Stored in DoD records repositories that are authorized to store PSI reports
Destruction of PSI Records
PSI reports must be destroyed in the same manner that is used for the destruction of classified information.
NBIB
NBIB is the investigative agency that conducts personnel security investigations for the Department of Defense
Suitability Adjudication
Determines suitability for federal employment
List 3 Types of Adjudication
National Security Adjudication
Suitability Adjudication
Homeland Security Presidential Directive (HSPD) 12 Adjudication
What is a PSI used to determine?
Access to classified information
Acceptance or retention to the armed forces
Assignment or retention to sensitive duties
What DoD system is utilized to connect security personnel around the world?
JPAS and/or DISS
Requirements for Interim Clearance
No need for immediate access
SF-86 submitted and investigation opened by ISP
All minimum requirements for interim have been fulfilled
DoD CAF Responsibilities
Makes adjudicative decisions
Is a central repository for investigative records
Requests additional info where there is evidence that someone may no longer be eligible for a clearance
List 5 Elements of Suitability Determination
Position Designation Pre-Investigation Investigation Adjudication Reinvestigation
Investigation Tiers for Suitability
No classified info
Tier 1- low risk, non-sensitive, physical and logical access (HSPD-12 credentialing). Use SF-85
Tier 2- nonsensitive, moderate risk public trust. Use SF-85P
Tier 4- nonsensitive high risk public trust. Use SF-85P
Investigation Tiers for National Security
Classified info
Tier 5- critical-sensitive, special-sensitive and/or requiring “Q” access, Top Secret or SCI
Tier 3- non-critical sensitive and/or requiring Confidential, Secret or “L” access. Use SF-86
Standards of evidence in a suitability case
- Evidence must establish conduct
- The govt has burden of proof
- All facts must be supported by a preponderance of evidence
National Agency Check Inquires (NACI) applies to whom?
Civilians and Contractors
• Non-sensitive positions
• Low Risk
• HSPD Credentialing
NAC
Fingerprint portion of a PSI
Investigative requirement for critical-sensitive
SSBI
SSBI-PR
PPR
Investigative requirement for noncritical-sensitive
ANACI
NACLC
Investigative requirement for non-sensitive
NACI
Purpose of the Statement of Reason (SOR)?
Provide a comprehensive and detailed written explanation of why a preliminary unfavorable adjudicative determination was made
JCAVS
System used to communicate with the DoD CAF
JAMS
Sub-system used by adjudicators
JPAS
Consists of JCAVS and JAMS
DoD system of record for personnel security clearance information
DISS
Will replace JPAS as DoD system of record for personnel security clearance information
Scattered Castles
Intel Community Personnel Security Database that verifies personnel security access and visit certifications
DCII
System of record for fraud investigations
SII
System of records of PSIs conducted by OPM
Administrative Judge
Ensures Military and Civilian personnel fairness by providing opportunity to appeal an unfavorable adjudicative determination
DOHA
Ensures Contractor personnel fairness by providing opportunity to appeal an unfavorable adjudicative determination
Events/incidents required to be reported to DoD CI organizations?
Espionage
Sabotage
Terrorism
Cyber
Types of threats to classified information
Insider Threat
Foreign Intelligence entities (FIE)
Cybersecurity Threat
Purpose of foreign visitor program
Track and approve foreign entity access to classified
Approve foreign entity access to unclassified info
