EVERYTHING YOU NEED TO KNOW ABOUT THE SECURITY CLEARANCE PROCESS, BUT ARE AFRAID TO ASK
By Diane Griffin
President/CEO
Security First & Associates, LLC
Smashwords Edition
Copyright 2010, Diane Griffin
All rights to this publication are reserved. You may not sell this book, give it away, display it publicly, nor distribute it in any form whatsoever without the prior written consent of the author.
Reproduction of kind is prohibited.
The author made every effort to insure that the information in this book is current, accurate and complete. However, government policies and procedure change often. The author wrote this book to provide insight and guidance regarding security clearances in the United States. The author is not a lawyer and does not engage in providing legal advice. If you require legal assistance, you should seek out the services of a competent attorney specializing in security clearance law. The author does not assume any responsibility for errors, omissions or contrary interpretation of this information.
This e-book is licensed for your personal use only. This e-book may not be given away or re-sold to other people. If you would like to share this e-book with another person, please buy an additional copy for each person you share it with. If you're reading this book and did not purchase it, or it was not purchased for your use only, then you should return to Smashwords.com and purchase your own copy. Thank you for respecting the hard work of this author.
Diane Griffin, President / CEO of Security First & Assoc. is the
author of the book “Everything You Need to Know About the
Security Clearance Process, But Are Afraid to Ask”.
Ms. Griffin packed this book with insightful advice and pertinent questions collected over more than 20 years as an administrator and consultant in the industry.
If after reading this book, you still have questions, visit Security First & Assoc web site at www.SecurityFirstAssociates.com.
With this book, you will learn:
• The basics behind security clearances
• The step by step process for obtaining a Personnel Security Clearance (PCL)
• The step by step process for obtaining a Facility Security Clearance (FCL)
• How the U.S. Federal Government classifies Industry
• The investigation process
• Adjudicative standards and concerns
• Necessary forms, definitions and acronyms
• Common and not-so common questions and answers about the process
“In our opinion, Security First & Associates provides must have services in the area of Industrial Security. We found them to be knowledgeable, hard working, personable, professional and enjoyed working with them very much. Without reservation I would recommend and fully intend on continuing our relationship with Security First into the future.”
Charles Higgins, President
Oneida Communications, Inc.
“Diane is a seasoned Security Professional with a very thorough understanding of Industrial Security requirements. She established the security practices for Ex Nihilo and has been an integral part of our continued compliance. If you're in need of a reliable source for security awareness training, background investigations, self-inspection, SCIF accreditation, security practices and procedures, oversight and compliance or any other ongoing security need, then I would highly recommend that you give the professionals at Security First & Associates a call.”
Angela Dingle, President & CEO
Ex Nihilo Management, LLC
"When you need recommendations and solutions for your security programs, consider the quality and professionalism offered through Security First and Assoc.”
Jeff Bennett, ISP, Owner/Senior Editor
Red Bike Publishing
INTRODUCTION
Thank you for your interest in my book, Everything You Need to Know About the Security Clearance Process, But Are Afraid to Ask. Chances are that you purchased this book because you are either an individual or company seeking advice and knowledge regarding the sometimes lengthy and often confusing process for obtaining and maintaining a security clearance.
When seeking advice, it’s common to go to people that you know to get the inside scoop. I bet that you know someone who has a security clearance or had one previously. However, if you ask them a question about their job or the security clearance process, you’re likely to get the response, "… if I told you, I would have to kill you...", or “…well, I got mine a while ago and the laws and process have probably changed..”. So where do you go to get your information?
You could spend months researching your questions and all the while, you run the risk of unknowingly saying the wrong thing that could get you flagged as a candidate for rejection.
The more productive, safer, quicker alternative is to spend a couple of hours reading through this informative book loaded with questions and answers from more than 20 years of experience working in and with the system to help you reduce your risk and cut through the red tape delays that are inherent in the system.
Here’s what you will learn from this book:
Insight into the process for obtaining and maintaining Security and Facility clearances
Awareness of the risks that you face for delays or possible rejection and what to do about them
Straight forward answers to the standard and not so standard questions people often ask about the security and facility clearance process
Clear definitions to the confusing industry terms, abbreviations and acronyms
Who am I? My name is Diane Griffin, President / CEO of Security First & Associates, LLC. I am that friendly expert that WILL give you the inside scoop of what is relevant to your specific needs for obtaining and maintaining a security clearance today. And, no, this book won’t self destruct nor will I have to kill you for giving you the answers.
I began my career in the industry more than two decades ago working for various government contractors. While working for these companies, I was responsible for satisfying the requirements of security functions involving human resources, data management, and hardware and software security.
Then in 2002, I satisfied my entrepreneurial spirit by creating Security First & Associates, LLC consulting individuals and companies with all levels of security. As you can imagine, after 9/11 and with our country in the midst of two wars, the demands and dynamics of security clearances have changed drastically.
So whether you are a security professional, a student of criminal justice, someone interested in pursuing a government career, or a company pursuing government contracts that require a security clearance, you will have many questions regarding the process. And this book has many answers - even to those questions that you are afraid to ask.
Acknowledgements
I would like to thank God for giving me the opportunity to write this book and thanks to my family and friends for supporting me when I wanted to give up; KS, PC, AC, CW, AJ, and JP for always being in my corner. Doug,thank you for your patience and sense of humor. And for those of you that have come in and out of my life for a reason and a season, much love.
“True individual freedom cannot exist without economic security and independence.”
- Franklin D. Roosevelt
Mark Amtower - the Godfather of Government Marketing (http://federaldirect.net/index.html)
Douglas Dolan - The Solopreneur’s Guide (http://thesologuide.com)
Angela Dingle - ExNihilo Management (http://www.exnihilo-mgmt.com)
Julie Peck - JuMP Strategic Marketing (http://www.jumpstrategicmarketing.com)
Margaret & Guy Timberlake (http://www.asbc.org)
Jeff Bennett – ISP (http://www.redbikepublishing.com/)
Count me In Yahoo Group (http://www.makemineamillion.org/inspire)
Defense Security Service (http://www.dss.mil)
All my connections at LinkedIn
“What the mind of man can conceive and believe, it can achieve.”
- Napoleon Hill
THE BASICS BEHIND SECURITY CLEARANCES
The United States is under constant threat of having individuals, fundamentalist groups and foreign countries compromise the nation’s security. In order to combat this threat, the U.S. Federal Government maintains a process for identifying credible and trustworthy individuals, companies and industries to assist with protecting our national interests and citizens.
These dynamics make Trust a precious commodity. Nothing can take its place. In order for the U.S. government to identify trustworthy candidates, it must take them through a stringent process prior to granting them access to sensitive data and critical positions.
A security clearance is a privilege and not a right. The award of a security clearance does not give the recipient access to classified information in and of itself. The recipient must have a need to know the specific classified data that is given access to.
With this section, I will pose appropriate questions and provide answers that are basic to security clearances including systems and people involved in the process. As you read this book and as you participate in the process of seeking a security clearance, if you have any doubts how to respond to inquiries, just remember, telling the truth is always the best practice.
Q: What is a Security Clearance?
A: A security clearance is a determination by the United States government that a person or company is eligible for access to classified information. There are two types of clearances: Personnel Security Clearances (individuals) and Facility Security Clearance (companies).
Q: What is SCI?
A: SCI is the abbreviation for Sensitive Compartmented Information. The Director of Central Intelligence (DCI) establishes standards to govern access to SCI.
Q: What are the different levels of a security clearance?
A: There are three security clearance levels: Confidential, Secret and Top Secret.
Top Secret Clearance
Top Secret level clearance covers information that reasonably could cause exceptionally grave damage to the national security if disclosed to unauthorized sources.
Secret Clearance
Secret level clearance covers information that reasonably could cause serious damage to the national security if disclosed to unauthorized sources.
Confidential Clearance
Confidential level clearance covers information that reasonably could cause damage to the national security if disclosed to unauthorized sources.
Q: What is e-QIP?
A: The Electronic Questionnaires for Investigations Processing (e-QIP) will replace the Electronic Personnel Security Questionnaire (EPSQ), previously used within Department of Defense (DoD) as the automated request for personnel security investigations and clearances.
E-QIP is a secure website that will eventually contain all PSI forms, including the SF 86, SF 85P, and the SF 85. Within the DoD, the Facility Security Officer (FSO) at a cleared facility will initiate the request through the Joint Personnel Adjudication System (JPAS) that will permit the employee to access the site and complete the personnel security questionnaire on line.
Q: What is JPAS?
A: JPAS is a consolidated database constructed by the DoD for the purpose of collecting and disseminating information on the security clearance status of virtually everyone in the DoD sphere of influence. This includes military, government civilian personnel, and industry contractors.
The government created JPAS to create a near real-time environment where the agencies that grant clearances and the departments that use them could share a common source of information. Before JPAS, a collection of databases kept by numerous agencies, kept mostly in parallel, were responsible for keeping all this information accessible. Most of these databases were not highly accessible for user input, and information mostly rolled in one direction, from the Central Adjudicating Facilities (CAFs) to the user.
JPAS was introduced in stages starting around 2002/2003 and gradually made increasingly available and then mandated for contractors around late 2004.
Q: What is the difference between an interim and a full security clearance?
A: Interim clearances are granted in exceptional circumstances where official functions must be performed before completion of the investigative and adjudicative processes associated with the security clearance procedure. There is no difference between an interim and a full security clearance as it relates to access to classified information. However, when such access is granted, the background investigation must be expedited, and, if unfavorable information is developed at anytime, the interim security clearance may be withdrawn.
Q: How much does a security clearances cost?
A: Currently, there is no direct charge for a Facility Security Clearance (FCL) or Personnel Security Clearance (PCL).
PERSONNEL SECURITY CLEARANCE (PCL)
Awarding a Personnel Security Clearance (PCL) level of Top Secret, Secret or Confidential is the U.S. Federal Government’s primary method for controlling access to classified information. In order for an individual to be eligible for a security clearance, they must first obtain sponsorship from a cleared U.S. contractor or federal agency.
With this section, you will learn the process for obtaining a PCL. Following that, I have included a section of frequently asked questions collected from candidates that I have consulted over the years seeking a PCL.
Step-by-Step process for obtaining a Personnel Security Clearance (PCL)
Step 1: Beginning the process to obtain a personnel security clearance.
A personnel security clearance is an administrative determination by a trained adjudicator that an individual is eligible from a security standpoint under national security standards for access to classified information.
In order to make this determination, authorized agents of the U.S. Federal Government perform personnel security background investigations. These investigations are non-criminal in nature and cover a defined period of normally not more than the past ten years. The information collected must be sufficient to allow an affirmative or negative determination of a person's eligibility for access to classified information.
The security clearance process begins when a company determines that an employee or candidate for employment requires a personnel security clearance in order to perform the duties of his or her position. If the applicant has never held a personnel security clearance, or if they had their previous clearance terminated more than 24 months prior, this is referred to as an initial clearance. The employee must complete a security questionnaire, a fingerprint card and release of information authorizations.
Step 2: Steps for the FSO to submit a clearance request.
The applicant completes the security questionnaire electronically after the Facility’s Security Officer (FSO) initiates the process using the Joint Personnel Adjudication System (JPAS).
Prior to submitting a request electronically, the FSO should review the applicant’s JPAS record to ensure the investigation submission will be routed to the Defense Industrial Security Clearance Office (DISCO), an element of the Defense Security Service. The FSO reviews the security questionnaire and other forms, collectively called the security clearance package, for completeness prior to forwarding.
DISCO does not accept Single Scope Background Investigations (SSBI) submitted as Secret clearance requirements for Automation Data Processing (ADP) / Information Technology positions. Requests for these types of needs in support of IT requirements must be submitted in accordance with procedures available from the Government Contracting Activity (GCA).
An interim eligibility determination may be requested from DISCO once the investigation has been submitted in accordance with GCA procedures and after the FSO has verified that JPAS reflects the SSBI is "scheduled". The FSO should then submit the request to DISCO.
An e-QIP is required from JPAS users. Non-JPAS users may fax a copy of the completed SF-86 to 614-827-1635. Regardless of submission method, the request must clearly identify that the FSO is requesting an interim determination in support of a Secret clearance with an IT1 SSBI investigation requirement.
Upon investigation closing, if JPAS does not reflect that DISCO has received the SSBI for adjudication, please submit a JPAS Research / Recertify / Upgrade (RRU) action to DISCO requesting an eligibility determination on the SSBI.
Security Questionnaire is the Questionnaire for National Security Positions, Standard Form 86 (SF86):
The applicant access the SF86 after the FSO initiates the request in JPAS. The applicant will access the SF86 via the Office of Personnel Management’s (OPM) e-QIP system.
The National Industrial Security Program Operating Manual (NISPOM), Department of Defense 5220.22 Manual, requires the FSO provide the employee with written notification that review of the security questionnaire is for adequacy and completeness and the information will be used for no other purpose within the company.
After ensuring the form is complete and attaching the certification and release(s), the FSO forwards the request to DISCO using JPAS.
Certification and Release(s):
The FSO should ensure the submitted release is the release generated by the e-QIP system for the specific request number that is reflected on the release form. Failure to use the appropriate form will result in OPM rejecting the request.
Certification and Release forms may be scanned and attached to the investigation request in JPAS. Forms may also be sent in via fax. When sending form in this manner, do not send a cover page, fingerprint cards or any documents other than the certification and release forms. No hand written comments or markings are acceptable, other than the required signature(s) and date(s). The Releases and Certification should be faxed to 1-866-804-0686.
Fingerprint Cards:
Fingerprint cards are required for initial investigations. Fingerprints are not required for periodic reinvestigations.
Annotate the e-QIP reference number in the “YOUR NO. OCA” block on the fingerprint cards. Applicants may obtain the reference number from the bottom of the release and certification forms.
To prevent clearance applications from being returned as unacceptable, confirm through JPAS that DISCO has forwarded the e-QIP submission to OPM before mailing fingerprint cards.
Confirmation may be obtained by viewing the JPAS Notification Screen, Investigation Request Status.
Once DISCO submits the e-QIP to OPM, the field, “Approved PSQ” will be visible.
Once OPM receives the e-QIP, the notification date will be reflected in the “Released PSI” field and the SII will reflect a “Received” status.
The address to send fingerprint cards to OPM
U.S. Mail - e-QIP Rapid Response Team, OPM-FIPC, Post Office Box 618, Boyers, PA 16020, or,
FedEx - e-QIP Rapid Response Team, OPM-FIPC, 1137 Branchton Rd., Boyers, PA 16020, phone 724-794-5612.
Step 3: DISCO review and processing.
DISCO reviews all industrial applicant security clearance packages for completeness prior to forwarding to the organization that conducts the investigation. As part of the review, DISCO checks the files and systems available to them to determine if the applicant already has a clearance eligibility or completed investigation by another Federal entity. If so, DISCO can potentially use that clearance eligibility or request a copy of the investigation to support issuing clearance eligibility in lieu of requesting a new investigation.
Concurrent with review of the security clearance package, DISCO will determine if the individual is eligible for an interim clearance. In most cases, clearance applicants may begin working with an interim clearance.
Step 4: Receipt of the investigation request by the investigation provider.
Once the investigative provider receives the security clearance package, they review it for completeness to ensure they have the required components to start the investigation. If the investigative provider does not receive all required components within the required timeframe (30 days), the pieces of the investigation package are returned to DISCO. If this happens, DISCO will contact the FSO and provide instructions on steps required to resume the processing.
Once the investigative provider accepts the request, they conduct a check of national agency records, which includes a fingerprint check. Investigators verify the information the applicant supplied in his or her security clearance package, such as where the applicant has lived, gone to school, and worked.
Some types of investigations require that investigators contact current and former neighbors, supervisors, co-workers, classmates, as well as the references applicants have provided. Investigators verify educational records and may interview school sources. They also contact law enforcement agencies in each of the places an applicant has lived, worked, or attended school.
A case manager ensures that the appropriate investigation leads and contacts from the applicant's past are completed during the background investigation. Some investigation types require a personal interview between the applicant and investigator.
Step 5: After the investigation – the adjudication.
After the completion of an investigation, a person trained in the process of reviewing and evaluating security clearance information reviews the results of the investigation and compares it to established qualifying criteria for access to classified national security information.
This person, an adjudicator, considers the whole person, i.e., both favorable and unfavorable information, in making the clearance decision. Briefly, 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 or recurrence of the conduct
Each case is judged on its own merits and final determination is the responsibility of the specific department or agency that adjudicates the clearance eligibility. Any doubt regarding whether access to classified information is clearly consistent with national security must be resolved in favor of national security.
Step 5.a: Investigations referred to the Defense Office of Hearings and Appeals.
While the majority of applicants are granted a clearance, complicating factors may delay a decision or result in a denial of a security clearance.
For industry, if the applicant’s request is not clearly consistent with national security interests, DISCO forwards the case to the Defense Office of Hearings and Appeals (DOHA), in the Defense Legal Services Agency, to determine whether it is clearly consistent with the national interest to grant or continue a security clearance for the applicant.
The additional directives that provide information on this process are Executive Order 10865, “Safeguarding Classified Information Within Industry” and the Defense Industrial Personnel Security Clearance Review Program, Department of Defense Directive 5220.6.
Step 5.b: Investigations referred for adjudication for Sensitive Compartmented. Information (SCI) eligibility.
At this time, DISCO does not issue SCI eligibility determinations. Upon review by the DISCO adjudicator, if a request indicates that SCI is needed, the request will be forwarded to the appropriate government central adjudication facility (CAF) that has cognizance for the SCI determination. If the request is for an initial clearance, DISCO may issue the collateral clearance eligibility prior to forwarding to the SCI CAF.
Personnel Security Clearance (PCL) Q & A
Q: Why are Personal Security Investigations (PSI) and security clearances necessary?
A: The security clearance process determines if a person is able and willing to safeguard classified national security information, based on his or her loyalty, character, trustworthiness, and reliability.
Additionally, Personnel Security Investigations and security clearances are necessary 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:
People 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.
Q: What starts the security clearance process?
A: The security clearance process begins when a company determines that an employee or candidate for employment requires a Personnel Security Clearance in order to perform the duties of his or her position.
Q: Many contractors state that a candidate needs a security clearance to apply for their jobs. How can I get a clearance in advance so I can apply for these jobs?
A: The Office of Personnel Management (OPM) does not have a procedure allowing an individual to apply independently for an investigation or security clearance. An employer, cleared under the defense portion of the National Industrial Security Program (NISP), must give a candidate a conditional employment offer for a position that requires a security clearance before the process begins. Until a person is offered such a position, the government will not request or pay for an investigation for a clearance.
Once an employer makes a conditional offer, the government will require the candidate to complete a Standard Form 86 - Questionnaire for National Security Positions. This in turn initiates the investigation. Investigators perform a background check, adjudication officials review the results, and then issue the appropriate clearance.
Q: If I had a clearance or a favorable personnel security investigation in the past, can I now get a clearance for another position?
A: To receive a clearance for another position, you 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 receiving a new clearance.
If you do not meet these requirements, the employing organization may ask you to complete the Electronic Questionnaires for Investigations Processing (e-QIP) in order for them to be able request OPM to perform a PSI on you.
For federal or military service, the date you left prior federal or military service must have been within the past 24 months, and you must not have any subsequent adverse information that would preclude you from receiving a new clearance. Additionally, if you completed your initial investigation or PR outside of the timeframe described in the answer to the previous question, an investigation may be required before you can receive another clearance.
Q: Can a Non-U.S. citizen get a U.S. security clearance?
A: Primarily, only U.S. citizens are eligible for access to classified information. However, in rare circumstances when a U.S. citizen is not readily available for an urgent contract, the U.S. Government may grant a Limited Access Authorization (LAA) to non-U.S. citizens. To be eligible for a LLA, non-U.S. citizen candidates must possess unique or unusual skills or possess expertise that the U.S. Government urgently needs for that specific contract.
Q: Does the government discriminate against anyone seeking a security clearance?
A: All candidates for security clearances, sensitive positions, or positions of trust are treated impartially and consistently regardless of their gender, race, marital status, age, ethnic origin, religious affiliation, disability, or sexual orientation.
Q: I'm physically handicapped; will that hurt my chances for a job?
A: No, it is against federal law to discriminate based on a handicapping condition.
Q: Does the President have to obtain a security clearance?
A: No. By law, the regulations regarding security clearances do not apply to elected officials and specific appointed positions.
Q: What type of information does a security clearance application requests?
A: The application form requires personal identifying data including residences, education, employment history, family and associates, plus foreign connections and travel. Additionally, it asks for information about arrests, illegal drug involvement, financial delinquencies, mental health counseling, alcohol counseling, military service, prior clearances, civil court actions, and subversive activities. The number of years of information required on the form depends on the level of clearance that you are seeking.
Q: I am tempted to keep quiet about something in my past. What should I do?
A: If you conceal information on your security form or during your subject interview, an adjudicator may determine that you are unreliable and dishonest. In fact, your clearance may be denied for withholding information or purposely lying even though what you were seeking to conceal would not have resulted in an unfavorable clearance determination.
Even if you obtain a clearance and receive assignment to a sensitive position or position of trust, federal agencies may overturn the initial adjudicative decision if they determine that you lied or concealed information during the PSI. Federal agencies generally fire or disqualify employees who materially and deliberately falsified such information. In addition, if you knowingly and willfully make material false statements during a PSI, you may be subject to prosecution for violating Title 18, section U.S. Code 1081.
Q: What will happen if I refuse to provide some personal information?
A: The investigation is a job requirement. Providing personal information is voluntary, but if you choose not to provide the information requested, you will not meet the requirements of the job, and therefore, your potential employer will not considered you for employment. If the Federal Government already employs you, they will terminate your appointment. The courts have upheld this principle.
Q: Should I guess at dates and addresses if I barely remember them?
A: For completing the investigation process efficiently and in a timely manner, provide information as completely and accurately as possible. If you give approximate information, note that on the questionnaire. Additionally, during your in-person interview, point out the approximated information on the questionnaire to the investigator.
Q: I graduated from high school and college many years ago. Why does the application need detailed information about my education?
A: Your education is a major consideration to determine if you meet the qualification requirements for the job. In any case, investigators need to verify the claims you make about your background.
Q: What should I do if I remember something later, after I've filled out my application and turned it in?
A: Immediately notify the security officials to whom you submitted the questionnaire.
Q: Who gets to see my personal information on my application?
A: Personnel Security, Suitability, and Investigations professionals, cleared through the investigation process at the appropriate level, who have a genuine and demonstrated need for access to you information, will have visibility to your data.
Q: Can OPM look at any record about me?
A: OPM can look at records that are relevant to the guidelines within the PSI program. When you fill out the required security forms and sign a general release statement, OPM will then have the authority to conduct your PSI.
Some records are public information and do not require a specific release. However, the OPM requires you to sign a specific release statement during the subject interview to check creditor and medical records per U.S. Code, section 1001.
Q: What safeguards are in place to ensure accuracy and protect my privacy?
A: All personnel involved in the PSI or adjudication process must meet the highest standards of integrity and personal conduct. The Privacy Act of 1974 and other applicable laws and statutes of the United States scrupulously protect all information that you submit during the course of a PSI.
Q: Are you going to tell my boss that I'm looking for a job?
A: Background investigations require the investigator to contact your current employer. They must verify your employment data and make other inquiries concerning your background. If you are a Federal employee or contractor, your current employer may need you to have a security clearance to perform your duties.
However, in most cases, you only complete the investigative form to begin the process after an employer makes you a conditional offer of employment for a position requiring a security clearance.