PERSONNEL SECURITY POLICY

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000601630003-8
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 85
• Document Creation Date: December 23, 2016
• Document Release Date: September 25, 2013
• Sequence Number: 3
• Publication Date: May 20, 1984
• Content Type: MISC

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OPNAVINST 20 APR 19844
CHAPTER 20
PERSONNEL SECURITY POLICY 5510.1G
20-1 BASIC POLICY
1. SECNAVINST 5510.30, reference (bb), establishes
the Department of the Navy Personnel Security Pro-
gram. It designates the Chief of Naval Operations
(0p-009) as the official responsible for implementing
the program and establishes the basic policy that no
person shall be appointed or retained as a civilian
employee in the Department of the Navy, accepted or
retained in the Navy or Marine Corps, granted access
to classified information, or assigned to other sensitive
duties that are subject to investigation under the pro-
visions of this regulation unless appointment, accept-
ance, retention, clearance or assignment is clearly
consistent with the interests of national security.
a. Appointment or retention in civilian employ-
ment and acceptance or retention in the Navy or
Marine Corps will be assumed to be clearly consistent
with the interests of national security unless or until
competent authority has determined that there is a
reasonable basis for doubting the person's loyalty to
the Government of the United States. Determinations
of suitability or eligibility for civilian employment or
service in the Navy and Marine Corps, on any basis
other than loyalty, are not personnel security determi-
nations and, therefore, are not under the purview of
this regulation.
b. Eligibility for access to classified information,
or assignment to other sensitive duties subject to in-
vestigation under the provisions of this regulation, will
be based on a determination of the person's loyalty, re-
liability, trustworthiness and judgment and governed
by the provisions of this regulation.
c. A final adverse personnel security action, as
described in paragraph 22-5, will not be taken unless
the individual concerned has been given the procedural
benefits in paragraph 22-6.
2. Sensitive duties are those in which an assigned mi-
litary member or civilian employee could bring about,
by virtue of the nature of the duties, a material ad-
verse effect on the national security. Any duties
requiring access to classified information are sensitive
duties. Any civilian position entailing sensitive duties
is a sensitive position.
20-2 APPLICABILITY
1. The personnel security policies and procedures in
this regulation apply primarily to eligibility for access
to classified information or assignment to sensitive du-
ties that are subject to investigation under the provi-
sions of this regulation. The only personnel security
determinant in appointment and retention in civilian
employment or acceptance and retention in the Navy
and Marine Corps is loyalty. In other words, this regu-
lation is not the authority to deny or terminate civilian
employment or military service unless loyalty is the
central issue.
20-1
2. Detailed requirements for specific programs are
found in the regulations governing those programs - for
example, special access programs and the industrial
security program.
20-3 DEPARTMENT OF THE NAVY JURISDICTION
Personnel under the jurisdiction of the Department of
the Navy, for personnel security purposes, are all Re-
gular and Reserve military members of the Navy and
Marine Corps; civilian personnel employed by, hired on
a contractual basis by, or serving in an advisory capa-
city to the Department of the Navy whether on a per-
manent, temporary or part-time basis, and whether or
not compensated from appropriated or non-appropriat-
ed funds; and applicants for positions in the Depart-
ment of the Navy, military or civilian.
20-4 CITIZENSHIP
1. As a general rule, only United States citizens will
be granted access to classified information or assigned
to sensitive duties. When this regulation refers to U.S.
citizens, it makes no distinction among those who are
U.S. citizens by birth, those who are U.S. nationals
(see definition in appendix B) and those who have de-
rived U.S. citizenship or acquired it through naturali-
zation. Non-U.S. citizens are identified in this regu-
lation as immigrant aliens and foreign nationals.
Immigrant aliens are those who have been lawfully ad-
mitted to the United States for permanent residence.
Foreign nationals are defined for security purposes as
those who are not U.S. citizens, U.S. nationals or im-
migrant aliens, those immigrant aliens who have failed
to become citizens (see paragraph 5 below), and those
U.S. citizens or immigrant aliens who represent a fo-
reign government, foreign private interests or other
foreign nationals, when they are acting in that
capacity.
2. Immigrant aliens may not be granted access to
classified information or assigned to sensitive duties
unless the commanding officer or other designated
clearance authority personally determines it is in the
national interest to do so, considering essential oper-
ating requirements of the Department of the Navy.
That determination cannot override any prohibitions or
restrictions on access or assignment in this regula-
tion. Non-U.S. citizens from the countries listed in
exhibit 5A will not, in any event, be assigned to sen-
sitive duties or granted access to classified infor-
mation. Under no circumstances will immigrant aliens
be cleared for sensitive compartmented information
(SCI), SIOP-ESI, Presidential Support duties, Nuclear
Weapon Personnel Reliability Program (PRP), NATO or
any other Special Access program. They are not eligi-
ble for access to COMSEC keying material classified
higher than Confidential, to naval nuclear propulsion
information (NNPI), to cryptologic information or to
intelligence information (unless authorized by the
originator).
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OPNAVINST 5510.1G
20 APR 1984
3. Under Executive Order 11935, you cannot appoint a
non-U.S. citizen to a civilian position in the Federal
competitive service unless you get approval from the
Office of Personnel Management (OP M) on a case-by-
case basis. You must not construe OP M's approval of
employment as a security decision, authorizing assign-
ment to sensitive duties or access to classified infor-
mation where prohibited or restricted by this regula-
tion. As a matter of fact, if the position for which
OP M's approval will be sought is a sensitive position,
you must first determine that assignment or access
would not be prohibited or restricted. For example, an
immigrant alien cannot be granted a Top Secret clear-
ance. There would be no point in asking for OPM ap-
proval for a position requiring access to Top Secret.
4. With few exceptions, only U.S. citizens are accep-
ted as officers in the Navy and Marine Corps. Immi-
grant aliens are enlisted in the Navy and Marine Corps
and, under a U.S.-Republic of Philippines agreement,
Philippine nonimmigrant aliens may be enlisted in the
Navy. Enlisted immigrant aliens (and Philippine non-
immigrant aliens) may not enter ratings or Military
Occupational Specialties (MOS) which generally re-
quire access to classified information.
5. An immigrant alien, military or civilian, who has
not been naturalized within one year following comple-
tion of the residence requirement, reverts to foreign
national status for security purposes. If the individual
has applied for naturalization and the delay in natural-
ization is beyond his or her control, a grace period of
an additional year is authorized to complete the pro-
cess. An immigrant alien who has reverted to foreign
national status for security purposes cannot hold a se-
curity clearance or be assigned to sensitive duties.
Because the naturalization process sometimes takes
more than two years to complete, Chief of Naval Op-
erations (0p-009P) will consider waiver of this rule
upon request and assurance that the individual is
actively pursuing U.S. citizenship.
6. Several allowances are made in applying the policy
on immigrant aliens. There are so many variables in
residence requirements under immigration and natural-
ization laws, it would be unreasonable to expect you to
know each application. To simplify, you may assume a
five-year residence requirement, starting on the date
the individual acquired immigrant alien status. If the
immigrant alien came to this country as a child, you
may start counting the five years from his or her
eighteenth birthday. This allowance is made on the
premise that an immigrant alien entering the Navy and
Marine Corps is advised for the first time that his or
her status may affect assignments, clearance or ac-
cess. In the interests of fairness, each non-U.S. citi-
zen entering the Navy or Marine Corps or entering ci-
vilian employment in the Department of the Navy will
be advised of the DON security policies affecting
assignments, clearance and access.
7. Foreign nationals, other than Philippine nonimmi-
grant aliens on active duty with the Navy, are not eli-
gible for Department of the Navy security clearance.
The Office of the Secretary of Defense has granted a
waiver to allow Philippine nonimmigrant aliens on
active duty in the Navy to be granted Confidential
20-2
clearances. They are not eligible for sensitive com-
partmented information (SCI), SIOP-ESI, Presidential
Support duties, Nuclear Weapon Personnel Reliability
Program (PRP), NATO or any other Special Access
programs, or for access to naval nuclear propulsion
information (NNPI), to communications analysis,
COIV1SEC information, or intelligence information (un-
less authorized by the originator). Foreign nationals
employed by or affiliated with the DON in an individ-
ual capacity may be allowed limited access to classi-
fied information or assigned to sensitive duties only
when specifically authorized by the Chief of Naval
Operations (0p-009P) under the provisions of para-
graphs 24-5 and 24-9. All other foreign nationals are
to be considered foreign representatives and are gov-
erned by foreign disclosure policies and procedures in
OPNAVINST 5510.48, reference (p) and OPNAVINST
S5510.155, reference (v).
20-5 VERIFICATION OF CITIZENSHIP
1. As citizenship status affects investigative require-
ments, clearance eligibility and the access which may
be granted, it must be considered before security pro-
cessing begins. Those who hold a current, valid secur-
ity clearance, issued by the Navy or Marine Corps or
other component of the Department of Defense, do not
have to submit evidence of citizenship to retain clear-
ance at the present level. Verification is required for
first-time clearance candidates and candidates for
clearance at a higher level than currently held if citi-
zenship was not verified previously.
2. Navy and Marine Corps officers were required to
submit proof of citizenship before commissioning. Un-
less an individual's record specifically notes that he or
she is not a U.S. citizen, you may assume that an offi-
cer is a U.S. citizen. Enlistees are required to submit
documentation verifying citizenship status during en-
listment processing. The documents sighted are listed
and attested to by a recruiting official on the DD
Form 1966, Application for Enlistment - Armed Forces
of the United States.
3. Civilians are not required to provide documentation
during the hiring process to prove the citizenship
claimed on the application, so verification of citizen-
ship will be required during security processing. You
cannot assume a former officer is a U.S. citizen. Evi-
dence of citizenship would be required in that case,
because you would not have the officer personnel
record to check.
4. The requirement to verify United States citizenship
for first-time candidates and candidates for clearance
at a higher level than currently held is satisfied under
the following conditions:
a. An individual has a valid Background Investiga-
tion (BI) or Special Background Investigation (SBI)
completed before 1 September 1979, provided U.S.
citizenship was claimed at that time; or
b. An individual is an officer in the Navy or
Marine Corps and his or her record does not contain
evidence of non-citizenship; or
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e. An enlisted member's service record contains a
DD Form 1966 with a certification that the documents
verifying citizenship have been sighted; or, for Navy
members, a NAVPERS 1070/601 (Immediate Reenlist-
ment Contract) reflecting that the documentation has
been sighted and the individual is a U.S. citizen; or
d. When none of the conditions above applies, the
individual produces the documentation listed in
paragraph 5 below.
5. The documentation required to prove U.S. citizen-
ship is generally the same as that required for U.S.
passport purposes:
a. If the individual was born in the United States,
a birth certificate. Certification in the form officially
issued and certified by the state or county agency is
acceptable, provided it shows the birth record was
filed shortly after birth and it bears the registrar's
signature.
(1) A delayed birth certificate (a record filed
more than one year after the date of birth) is accept-
able, if it shows that the report of birth was supported
by secondary evidence as described in paragraph (4)
below.
(2) Verification of Birth (DD Form 372), on
which the birth data listed is verified by the registrar,
is acceptable for military members.
(3) A hospital birth certificate is acceptable if
all of the vital information is given and it has an au-
thenticating seal or signature. The hospital must be
fully recognized and credentialed by a recognized au-
thority (to preclude acceptance of birth certification
from commercial birth centers or clinics.)
(4) If primary evidence is not obtainable, a
notice from the registrar that no birth record exists
should be submitted. The registrar's notice must be
accompanied by the best combination of secondary
evidence obtainable. Secondary evidence includes a
baptismal certificate, a certificate of circumcision,
affidavits of persons having personal knowledge of the
facts of the birth, or other documents such as early
census, school or family bible records, newspaper files
and insurance papers. The secondary evidence should
have been created as close to the time of birth as
possible.
(5) All documents submitted as evidence of
birth in the United States must be original or certified
documents. Uncertified copies are not acceptable.
b. If citizenship was acquired by birth abroad to a
U.S. citizen parent, a Certificate of Citizenship, is-
sued by the Immigration and Naturalization Service, or
a Report of Birth Abroad of a Citizen of the United
States of America (Form FS-240), or a Certification of
Birth (Form FS-545 or DS-1350) issued by a U.S. Con-
sulate or the Department of State. For personnel born
in the Canal Zone, a certificate of birth issued by the
Canal Zone Government indicating U.S. citizenship and
verified with the Canal Zone Commission is accepta-
ble. Address the request for verification to: Vital
20-3
OPNAV INST 5510.1G
20 APR 1984
Statistics Unit, Administrative Services Division,
Panama Canal Commission, APO Miami, FL 34011.
c. If the individual claims U.S. citizenship by
naturalization, a Certificate of Naturalization. A
Certificate of Citizenship is required if the individual
claims to have derived U.S. citizenship through the na-
turalization of the parent(s). If the individual does not
have a Certificate of Citizenship, the Certificate of
Naturalization of the parent(s) may be accepted if the
naturalization occurred while the individual was under
18 years of age (or under 16 years of age before 5 Oct
1978) and residing permanently in the U.S. Certifi-
cates presented must be originals, as it is illegal to
make copies.
d. A U.S. passport issued to the individual or one
in which the individual was included.
6. Immigrant aliens, that is, those who have been law-
fully admitted for permanent residence, are registered
by the Immigration and Naturalization Service (INS)
and are issued proof of status. Immigrant alien status
is verified by sighting Alien Registration Receipt
Card, INS Form 551 or INS Form 151, or, if the indivi-
dual has arrived within the past year, an entry in the
passport or INS certification of status. The proof of
status must be sighted before any processing for clear-
ance or assignment to sensitive duties. If the indivi-
dual does not have INS proof of immigrant alien status,
he or she must be considered a foreign national for se-
curity purposes. For your information, every immi-
grant alien, regardless of age at the time of entry, is
issued proof of status.
20-6 DESIGNATION OF CIVILIAN SENSITIVE
POSITIONS
1. Commanding officers will designate each civilian
position in their commands as critical-sensitive, non-
critical-sensitive or nonsensitive.
2. The criteria to be applied in designating a position
as sensitive are:
a. Critical-sensitive:
(1) Access to Top Secret information.
(2) Development or approval of plans, policies,
or programs that affect the overall operations of the
Department of the Navy.
(3) Development of war plans, plans or parti-
culars of future major or special operations of war, or
critical and extremely important items of war.
(4) Investigative and certain investigative
support duties, the issuance of personnel security
clearances or access authorizations, or the making of
personnel security determinations.
(5) Fiduciary, public contact, or other duties
demanding the highest degree of public trust.
(6) Duties requiring access to sensitive com-
partmented information (SCI).
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20 APR 1984
(7) Category I automatic data program posi-
tions. (NOTE: This criterion will not be used to desig-
nate a position as critical-sensitive until further
notice.)
(8) Any other position designated by the
Secretary of the Navy or his designees (commanding
officers).
b. Noncritical-sensitive:
(1) Access to Secret or Confidential informa-
tion.
(2) Assignment to security police/provost mar-
shal duties involving the enforcement of law, and se-
curity duties involving the protection and safeguard-
ing of Department of the Navy personnel or property.
(3) Assignment to duties involving education
and orientation of Department of the Navy personnel.
(Applicable only to personnel who prepare formal
instructional material or present formal courses of
instruction.)
(4) Duties involving the design, operation, or
maintenance of intrusion detection systems deployed
to safeguard Department of the Navy personnel and
property.
(5) Category II automatic data program posi-
tions.
(6) Any other position designated by the
Secretary of the Navy or his designees (commanding
officers).
3. Any one of the criteria will make a position sensi-
tive. If more than one applies, only the predominant
factor needs to be recorded. If access to classified
information is one of the factors, it will always be
predominant.
4. All other civilian positions in the Department of
the Navy are. to be designated as nonsensitive. Non-
sensitive positions are not under the purview of this
regulation except as noted in paragraph 20-1.
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20-4
5. Commanding officers are responsible for ensuring
that only those positions that meet the criteria above
are designated as sensitive, that the designation of
sensitive positions is held to the minimum consistent
with mission requirements and that the investigative
requirements for appointment to sensitive positions
are met. The Director, Naval Civilian Personnel Com-
mand will provide an annual accounting to the Chief of
Naval Operations (0p-009P) of the number of sensitive
positions by category, showing the specific designation
criteria (for example, critical-sensitive, designation
criterion (1), Top Secret access.)
20-7 MANAGEMENT DATA
1. To provide management data and input for reports
which may be required by the Deputy Under Secretary
of Defense for Policy or the Chief of Naval Operations
(0p-009), the personnel security authorities specified
will maintain the following data on an annual (calendar
year) basis:
a. Number of civilian sensitive positions, showing
the specific designation criteria of paragraph 20-6
(e.g., critical-sensitive, designation criteria (1)) -
Director, Naval Civilian Personnel Command.
b. Number of security clearances granted, by
level of classification - Commandant of the Marine
Corps, Commander, Naval Military Personnel Com-
mand, Director, Naval Civilian Personnel Command.
c. Number of adverse personnel security actions
taken by category (see paragraph 22-5) - Commandant
of the Marine Corps, Commander, Naval Military Per-
sonnel Command, Director, Naval Civilian Personnel
Command, Commander, Naval Intelligence Command
and Commander, Naval Security Group Command.
d. Number of SCI Access Authorizations granted -
Commander, Naval Intelligence Command, Comman-
der, Naval Security Group Command.
e. Number of waivers of investigative require-
ments (see paragraph 24-4) - Commanding officers.
(Negative reports not required.)
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CHAPTER 21
PERSONNEL SECURITY INVESTIGATIONS
21-1 BASIC POLICY
1. No person will be given access to classified infor-
mation or be assigned to sensitive duties unless a
favorable determination has been made of his or her
loyalty, reliability, trustworthiness and judgment. The
initial determination will be based on a personnel se-
curity investigation (PSI) appropriate to the access
required or to other considerations of the sensitivity of
the duties assigned.
2. Commanding officers are authorized to request
PSI's on personnel under their jurisdiction as necessary
to fulfill the investigative requirements described in
this chapter.
3. Only the minimum investigation to satisfy a re-
quirement may be requested. You cannot establish
investigative requirements in addition to, or at var-
iance with, those described in this chapter for any
project or program without the approval of the Chief
of Naval Operations (0p-009).
4. The Defense Investigative Service (DIS) or, where
specified, the Office of Personnel Management (OPM),
conducts or controls all PSI's for the Department of
the Navy. You are prohibited from conducting PSPs,
including local public agency inquiries, without the
specific request from the DIS to support its investi-
gative responsibilities.
5. Requests for PSI's must be kept to the absolute
minimum. (See paragraph 21-14 for the determina-
tions which must be made before requesting a PSI.)
Disproportionate reliance on PSI's as a means of iden-
tifying problem personnel security cases will be avoid-
ed. Special attention is to be given to eliminating
unnecessary and duplicative requests. Investigation
will not be requested to resolve allegations of a suit-
ability nature for the purpose of supporting personnel
administrative decisions or disciplinary procedures
independent of a personnel security determination.
21-2 TYPES OF PERSONNEL SECURITY INVESTI-
GATIONS
1. The term "personnel security investigation (PSI)"
describes an inquiry by an investigative agency into an
individual's activities, conducted for the purpose of
making a personnel security determination. Other
types of investigations may have an impact on employ-
ment, clearance or assignment but are conducted for
other basic purposes and are, therefore, not PSI's.
Examples of other types are investigations of com-
promise, current criminal activity, sabotage, espionage
or subversion.
2. PSI's fall into one of the following categories:
a. National Agency Check (NA C) - a check of the
files of Federal agencies, conducted by DIS. It in-
21-1
OPNAV INST 5510.1G
20 APR 1984
eludes, as a minimum, a check of the Defense Central
Index of Investigations (DCII) and a check of FBI
files. Other agencies are checked as indicated by the
information on the individual's investigative forms.
The NAC conducted on a first-term enlistee in the
Navy or Marine Corps is called an Entrance NAC
(ENTNAC). For an ENTNAC, a different fingerprint
form is used and the FBI check is by name only, with-
out the technical fingerprint search conducted for an
NAC. The primary reason for an ENTNAC is to deter-
mine suitability for entry into the service. It is re-
quested only at the time of initial entry, not at reen-
listment or at a later date if you discover the person
never had one. An NAC is also an integral part of
each Background Investigation (BI) or Special BI (SBI)
or Periodic Reinvestigation (PR). When an NAC dis-
closes information that has to be resolved by DIS with
additional investigative effort, the result is called an
expanded NAC (ENAC).
b. National Agency Check and Inquiry (NACI) - a
check of the files of Federal agencies (an NAC) con-
ducted by the Office of Personnel Management (OPM)
on civilian applicants, with written inquiries to law
enforcement agencies, former employers, supervisors,
references and schools. The "Record Check and Inqui-
ry", conducted by OPM under the superseded Executive
Order 9835, is the equivalent of an NACI.
c. Background Investigation (BI) - an investiga-
tion, conducted by DIS, to develop information on an
individual's loyalty, character, emotional stability and
reliability. It consists of an NAC plus field investi-
gation by interview and written inquiry. Standard BI
elements include checks of employment, education,
affiliations, local agencies where the subject has lived,
worked or gone to school and interviews of persons
who know the individual. Depending on the informa-
tion disclosed, the BI may also include credit and
neighborhood checks and an interview of the subject to
resolve any questionable or derogatory information. A
Personal Interview-Oriented BI (IBI) is a new type of BI
which focuses on a personal interview of the subject,
plus the NAC, employment checks, developed charac-
ter references, local agency checks and a credit
check. Additional elements are covered only as neces-
sary to resolve the information disclosed. IBI's are
conducted on military personnel, but not on civilian
employees. If a military member is not accessible for
the personal interview because of deployment, remote
location, etc., a standard BI is done. The scope of a BI
(and an IBI) is usually 5 years or from the 18th birth-
day, whichever is the shorter period; however, at least
the last 2 years will be covered, except that no inves-
tigation is conducted prior to an individual's 16th
birthday. The scope of a BI signifies that certain
elements of the investigation will be covered for that
period only. No time limit is set for resolution of
questionable or derogatory information. The scope of
a BI for those being assigned to NATO billets and for
non-U.S. citizens is 10 years (with the restriction on
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OPNAV INST 5510.1G
20 APR 1984
investigation before the 16th birthday). The Full Field
Investigation (FFI) conducted by the FBI or OPM, is
the equivalent of a BI.
d. Special Background Investigation (SBI) - an in-
vestigation, conducted by DIS, with extended coverage
of the individual's background to provide a greater
depth of knowledge than a standard BI. The term "Ex-
tended (or Expanded) BI (EBI)" is synonymous. An SBI
also includes an NAC on the subject's spouse or coha-
bitant, and any members of the subject's immediate
family 18 years of age or older who are U.S. citizens
other than by birth or who are not U.S. citizens. The
scope of an SBI is 15 years or since the 18th birthday,
whichever is the shorter period; however, at least the
last 2 years will be covered, except that no investiga-
tion is conducted prior to the subject's 16th birthday.
SBI's are conducted only when specifically required by
the Chief of Naval Operations or higher authority. At
the present time, SBI'8-iftre iauthorized-only -for-access-
\ to the Single Integrated Operational Plan - Extremely
Sensitive Information (SIOP-ESI); access to sensitive
compartmented informatiorilSCOCassignment to cer-
i tain Presidential support duties; and assignment to
investigative agencies as special agents or investiga-
' tive support personnel who require continuous access
to investigative files and material. Any-investigation -
conducted_by_a_Rederal -agency- under-the-standards of ,
Director of -Central Intelligence Directive (DCID) 1/14
meets-SBI investigative -requirements:-An FFI by the
FBI or OPM is usually equivalent to an SBI. The FFI
would have to be reviewed to see if all the investi-
gative elements have been covered.
e. Periodic Reinvestigation (PR) - a periodic up-
dating of a valid investigation when specifically
required under program regulations generated by CNO
or higher authority. 'PR's may_bb-r6queste-d-only-when?,
authorit-ed (see:paragraph 21-18 on validi-
ty of investigations and paragraph 21-13 on reinvesti-
gation). Investigative elements covered depend on the
reason for the periodic reinvestigation.
3. A Special Investigative Inquiry (SII) is an investiga-
tion, conducted by DIS, to supplement a PSI that has
been closed but subsequently found to be incomplete;
to prove or disprove allegations concerning an indivi-
dual on whom a personnel security determination has
been made; or to assess the current eligibility of an
individual on whom an adverse personnel security
determination had previously been made. SII is the
coverall term for limited inquiries, post-adjudication
investigation or other additional inquiries conducted by
DIS. SII's do not include investigation of current
criminal activity, sabotage, espionage or subversion.
Those are matters under the purview of the Naval
Investigative Service.
4. If adverse or questionable information, which could
be relevant to a security determination, is developed
during a PSI, regardless of type, the investigation is
expanded to the extent necessary to substantiate or
disprove the information.
5. When a member of an individual's immediate fami-
ly, or any other person to whom the individual is bound
by obligation or affection, resides in a nation whose
21-2
interests are inimical to the interests of the United
States, a hostage situation exists. In the absence of
coercion, influence or pressure, a personal interview
will be conducted by a DIS agent (or, when authorized,
by investigative personnel of other DOD investigative
organizations). If the relationship is known at the time
a BI or SBI is being conducted, DIS will include hostage
situation coverage as part of the investigation. Other-
wise, request the personnel interview as an SII. If
there are indications that hostile intelligence is taking
any action specifically directed against the individual
or if there is evidence that the individual is being
coerced, influenced or pressured, the case becomes a
counterintelligence matter to be referred to the Naval
Investigative Service.
6. An SBI (and SBI-PR) is the highest level of in-
vestigation, followed in descending order by a BI
(which includes the FFI, IBI, and BI-PR), NACI, NAC,
and ENTNAC. SII's supplement the basic PSI and are
not entered as investigations on the Certificate of
Personnel Security Investigation Clearance and Access
(OPNAV Form 5520/20).
7. A check of the DCII (see paragraph 21-5.1a(2)) is
not a PSI.
21-3 INVESTIGATIVE REQUIREMENTS FOR
CIVILIAN EMPLOYMENT
1. The appointment of each civilian employee is sub-
ject to investigation, except for reappointment when
the break in employment is less than 12 months, to
determine whether employment is clearly consistent
with the interests of national security.
2. The investigation required for a nonsensitive posi-
tion is an NACI by OPM, requested no more than 3
work days after appointment. Investigation is not
required for per diem, temporary, intermittent or
seasonal appointment to a nonsensitive position for 3
months or less.
3. An NACI, completed by OPM before appointment,
is required for a noncritical-sensitive position. If the
appointee had a satisfactory NAC or ENTNAC while in
military service or DOD contractor employment, and
the investigation is still valid (see paragraph 21-18 for
validity of investigations), he or she may be appointed
to a noncritical-sensitive position after the NACI has
been requested. If the appointee does not have any
valid investigative basis for appointment, he or she
may be placed in a noncritical-sensitive position only
as an emergency measure after the commanding offi-
cer determines that delay in appointment would be
harmful to the national security, the NACI has been
requested and a check of locally available records is
favorable. The commanding officer's determination,
justifying the emergency appointment, has to be in
writing and the record retained as prescribed by
NCPCINST 5521.1, reference (cc).
4. For summer hires for noncritical-sensitive posi-
tions, the investigative requirement is a pre-appoint-
ment NAC by DIS, rather than the NACI by OPM.
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OPNAVINST 5510.1G
20 APR 1984
21-5 INVESTIGATIVE REQUIREMENTS FOR
ACCESS TO CLASSIFIED INFORMATION BY US.
CITIZENS
5. A pre-appointment BI is required for a critical-sen-
sitive position. In an emergency, a critical-sensitive
position may be occupied pending completion of a BI
by DIS only if the NAC portion of the HI (or other valid
ENTNAC, NAC or NACI) has been favorably complet-
ed and the commanding officer has determined that
delay in appointment would be harmful to the national
security. The commanding officer's determination,
justifying the emergency appointment, has to be in
writing and the record retained as prescribed by NCPC
INST 5521.1, reference (cc). There is no provision for
appointment to a critical-sensitive position when the
individual does not have any valid investigative basis.
6. In determining whether emergency appointment is
justified, a delay in appointment may be considered
harmful to the national security if regulatory require-
ments and mission-essential functions or responsibili-
ties can't be met and no other cleared, or otherwise
qualified, personnel are available on a temporary basis
to do the work.
7. Before a Department of the Navy command over-
seas employs a foreign national for duties not requiring
access to classified information, certain record checks
are required. The hiring command will request the
servicing Naval Investigative Service office (see ap-
pendix D), or the military investigative organization
having investigative jurisdiction in the overseas area
of the command, to conduct a record check of the host
government law enforcement and security agencies at
the city, state (province) and national level, wherever
it is legally possible to do so in the country con-
cerned. At the same time, Naval Investigative Service
Headquarters will be requested to check the DCII.
(See also paragraph 18-11 on temporary employment of
foreign nationals for unclassified projects in the
United States.)
21-4 INVESTIGATIVE REQUIREMENTS FOR MILI-
TARY APPOINTMENT OR ENLISTMENT
1. The appointment or enlistment of each member of
the Navy and Marine Corps will be made subject to
investigation.
2. An ENTNAC is required for each enlisted member
of the Navy and Marine Corps, including Reserve com-
ponents, at the time of initial entry into the service.
If an individual reenlists after a break in service
greater than 12 months, an NAC, not an ENTNAC, is
required.
3. An NAC is required on each commissioned officer,
warrant officer, midshipman and Reserve Officer
Training Candidate before appointment. Exception
may be made to this general rule to allow commission-
ing before completion of the NAC when a compelling
need exists, if the NAC has been initiated and the ap-
plicant has agreed in writing that, if the NAC is unfa-
vorable and he or she is found to be unqualified as a
commissioned officer, he or she will be subject to
discharge.
4. A previously conducted PSI which is still valid for
clearance purposes suffices for appointment or com-
missioning purposes.
21-3
1. Security clearance for access to classified infor-
mation by U.S. citizens under the jurisdiction of the
Department of the Navy will be based on the follow-
ing investigative requirements:
a. Military personnel
(1) Top Secret. The investigative basis for a
final Top Secret clearance is a BI. An interim Top Se-
cret clearance may be granted on the basis of an NAC
or ENTNAC if the BI has been requested and a check
of locally available records is favorable. Individuals
who currently hold final Top Secret clearance granted
before 1 December 1980 on the previously allowed
basis of an NAC plus 10 or 15 years continuous, honor-
able active duty, may retain that clearance without a
BI. (See paragraph 21-13 on Periodic Reinvestigation.)
(2) Secret. The investigative basis for a final
Secret clearance is an NAC or ENTNAC. An interim
Secret clearance may be granted on the basis of a fa-
vorable check of the DCII by Naval Investigative Serv-
ice Headquarters, when the NAC or ENTNAC has been
requested and a check of locally available records is
favorable.
(3) Confidential. The investigative basis for a
final Confidential clearance is an NAC or ENTNAC.
(Final clearance at the Confidential level is rarely
granted once a PSI has been completed. See paragraph
23-4.) Until 1 January 1976, final Confidential clear-
ance was authorized on the basis of a favorable review
of locally available records. Clearances issued before
1 January 1976 on that basis remain valid without ad-
ditional investigation. An interim Confidential clear-
ance may be granted if the NAC or ENTNAC has been
requested and a check of locally available records is
favorable.
b. Civilian personnel (including consultants to the
Department of the Navy hired under civil service pro-
cedures)
(1) Top Secret. The investigative basis for a
final Top Secret clearance is a BI. An interim Top Se-
cret clearance may be granted upon completion of the
NAC portion of the BI (or other valid ENTNAC, NAC,
or NA CI) if the BI has been requested, a check of lo-
cally available records is favorable and emergency
appointment to a critical-sensitive position has been
justified under the provisions of paragraph 21-3. (See
paragraph 21-13 on Periodic Reinvestigation.)
(2) Secret or Confidential. The investigative
basis for a final Secret clearance is an NACI by OPIV1
(except for summer hires and non-appropriated fund
personnel, on whom an NAC is conducted by DIS). As
noted in paragraph 23-4, final clearance is rarely
granted at the Confidential level. An interim Secret
or Confidential clearance may be granted if the NACI
has been requested, a check of locally available
records is favorable and, if the individual does not
have a valid NAC or ENTNAC on record, emergency
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OPNAV INST 5 5 1 0 . 1G
20 APR 1984
appointment to a noncritical-sensitive position has
been justified under the provisions of paragraph 21-3.
2. The local records to be checked, as a condition for
granting clearance, include available personnel, base/
military police, medical and security records. They do
not include records of public agencies such as police or
credit bureaus.
3. You may not initiate investigation under the provi-
sions of this paragraph for security clearance of those
individuals who may have applied for U.S. citizenship
but who have not yet been naturalized. (See paragraph
21-6 for investigative requirements for non-U.S.
citizens).
21-6 INVESTIGATIVE REQUIREMENTS FOR ACCESS
TO CLASSIFIED INFORMATION BY NON-US.
CITIZENS
1. Immigrant Aliens
a. An immigrant alien in the Department of the
Navy (see paragraph 20-4 for definition) is not eligible
for a Top Secret clearance.
b. Subject to the policy in paragraph 20-4, an im-
migrant alien may be granted a Secret or Confidential
clearance. The investigative basis for a final Secret or
Confidential clearance is a BI, covering the 10-year
period immediately preceding the investigation. Inter-
im Secret clearance is not authorized. Interim Confi-
dential clearance may be granted in an emergency sit-
uation if the individual has a valid NACI, NAC or
ENTNAC, the BI has been requested, and a personal
interview of the subject has been conducted by an
investigative agent, counterintelligence specialist, or
by the commanding officer, executive officer or secur-
ity manager with favorable results.
c. If an immigrant alien has reverted to foreign
national status for security purposes, as described in
paragraph 20-4, you may not initiate investigation
under the provisions of this paragraph. (See subpara-
graph 2 below.)
2. Foreign nationals. Foreign nationals, as defined in
paragraph 20-4, are not eligible for Department of the
Navy security clearance, with the single exception of
Philippine nonimmigrant aliens on active duty with the
Navy. Philippine nonimmigrant aliens on active duty
may be granted Confidential clearance upon comple-
tion of a BI of 10-year scope. Interim clearance is not
authorized. Clearance or access at a level higher than
Confidential is prohibited and no waivers will be grant-
ed. Limits on access by those Philippine nationals who
have been granted access to Confidential information
are described in paragraph 24-2. The investigative re-
quirements for all other foreign nationals, for whom
access may be authorized only under the provisions of
paragraph 24-9, will be determined by CNO (Op-
009P). You may not initiate any requests to DIS for
investigation of foreign nationals (except Philippine
nonimmigrant aliens on active duty) unless specifically
authorized to do so by CNO (0p-009P). The only cur-
rent authorization is held by Commander, Naval For-
2 1 - 4
ces, Philippines who has been authorized to request
BI's on Philippine civilians employed by the Navy in the
Philippines and to grant Confidential Limited Access
Authorizations to those employees.
21-7 INVESTIGATIVE REQUIREMENTS FOR ACCESS
TO SENSITIVE COMPARTMENTED INFORMATION
(SCI)
1. sensitive- compartmwited__ infcr mation
(SCI) is approved oh-an individual-basis by Command-e-f-,7-
NEWEIFIfitelligence Command oF-Ctim-mander;-Nuval7Se--_,
curity Group-Command Command Special Security
Officers maintain the records indicating billets/
incumbents requiring SCI access.
2. Investigation for SCI is authorized only for those
specifically identified as requiring it. When military
personnel are ordered to billets requiring SCI access,
their transfer orders will identify the requirement.
The security manager must ensure that the investiga-
tion request is submitted promptly and correctly (see
paragraph 21-14 and 21-15.5d), and that all security
requirements on the transfer orders are met before
transfer.
3. Military personnel in the following categories must
maintain continuous SCI eligibility at all times:
a. All 161X, 163X, 644X, 645X, 744X, and 745X
naval officers.
b. All Cryptologic Technicians (CT's).
c. All Intelligence Specialists (IS's).
d. All Marine Corps personnel with MOS 26XX and
MOS 02XX (except 0251).
4. The basic investigative requirement for SCI access
is an SBI completed or updated within the past 5
years. Those who have continuing access to SCI must
have the investigative basis for their access updated
every 5 years (SBI-PR). (See paragraph 21-13.)
21-8 INVESTIGATP/E REQUIREMENTS FOR ACCESS
TO THE SINGLE INTEGRATED OPERATIONAL PLAN
(SIOP)
1. For investigative purposes, you may consider that
there are two types of information, SIOP and SIOP-Ex-
tremely Sensitive Information (SIOP-ESI). Access to
SIOP does not require any extraordinary investigative
procedures. It is controlled by the level of clearance
required for the classification of the material. All
SIOP-ESI, however, is Top Secret and the person who is
to have access to SIOP-ESI must have a Top Secret
clearance based on an SBI. (See OPNAVINST S5511.35,
reference (b).)
2. There is no time limit on the age of the SBI. As
long as it is a valid SBI, it will be used as the basis for
SIOP-ESI access. (See paragraph 21-13 on Periodic
Reinvestigation.)
3. Before the requirement for an SBI (or EBI - Expand-
ed or Extended BI - as it was previously called) was
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established, SIOP-ESI access was granted on the basis
of a standard BI. For those who were granted access
to SIOP-ESI on that basis before 1978 and have had
continuous access since, there is no requirement to
initiate an SBI. However, as access to SIOP-ESI is
granted by a command for access at that command
only, any transfer would mean termination of the ac-
cess. Before an individual could be granted access to
SIOP-ESI at a subsequent command, a BI would not be
sufficient, and an SBI would be required.
4. When SIOP-ESI is transmitted by electrical means,
it carries the Special Category (SPECAT) communica-
tions caveat and, therefore, communications person-
nel who handle SPECAT messages containing SIOP-ESI
must meet these investigative requirements.
21-9 INVESTIGATIVE REQUIREMENTS FOR ACCESS
TO NATO OR FOREIGN-ORIGINATED INFORMA-
TION
1. Access to NATO or foreign-originated information
is based on a final U.S. security clearance, granted for
classified information of equivalent level, under the
investigative requirements of paragraph 21-5. Access
to NATO or foreign-originated RESTRICTED informa-
tion, for which there is no U.S. equivalent, no longer
requires a security clearance.
2. For those personnel assigned to permanent billets in
NATO commands, the investigative basis for the U.S.
clearance must have been completed within the past
five years. Incumbents of NATO billets have the in-
vestigative basis for their clearance (BI or NAC)
updated every 5 years (PR). (See paragraph 21-13.)
3. The limitation on the age of the investigation and
the periodic reinvestigation requirement apply only to
those in permanent NATO billets. They do not apply
to those who merely have access to NATO informa-
tion, including those who visit NATO commands or
attend conferences at which NATO classified informa-
tion is disclosed.
21-10 INVESTIGATIVE REQUIREMENTS FOR THE
NUCLEAR WEAPON PERSONNEL RELIABILITY
PROGRAM (PRP)
1. Investigative requirements for the Nuclear Weapon
Personnel Reliability Program (PRP) are based on the
sensitivity of the position occupied, which may or may
not reflect the classification level of information to
which the incumbent may have access. Positions in
the PRP are designated as Critical or Controlled. (See
OPNAVINST C5510.83, BUPERSINST 5510.11 and MCO
5510.7, references (c), (dd) and (ee) for detailed
requirements for the PRP, including interim certifi-
cation pending completion of investigation and final
certification.)
a. Critical position. The investigative basis for a
Critical position is a BI completed before assignment.
For initial assignment in the PRP, the BI must have
been completed within the past five years. Updating
of the investigation is not required for continued
assignment to a PRP position.
21-5
OPNAV INST 55 1 0 .1G
20 APR 1984
b. Controlled position. The investigative basis for
a Controlled position is an NACI, NAC or ENTNAC
completed before assignment. For initial assignment
in the PRP, an investigation (BI, NACI, NAC or
ENTNAC) must have been completed within the past
five years. Updating of the investigation is not re-
quired for continued assignment to a Controlled posi-
tion.
2. Initial assignment in the PRP is interpreted as the
first time an individual is screened and qualified for
the program, regardless of the position occupied. For
subsequent assignments in the PRP, reinvestigation is
only required when the individual has been out of the
PRP for more than five years and has not had an inves-
tigation within the last five years satisfying the re-
quirement for the PRP position now being considered.
When reinvestigation is necessary, a BI or NAC (as
appropriate) is requested, not a PR.
3. For military personnel, a break in active duty over
one year invalidates investigations completed before
the break, for PRP purposes. This interpretation of a
break in continuity of service (see paragraph 21-18)
applies to the PRP only, not to eligibility for clear-
ance. It affects those who go from active duty into
the Reserves for over a year and then return to active
duty. You cannot use an investigation, completed in
the previous tour of active duty, as the basis for PRP
assignment, including interim certification.
21-11 INVESTIGATIVE REQUIREMENTS FOR PRESI-
DENTIAL SUPPORT ACTIVITIES
1. The policies and procedures for nomination, screen-
ing, selection, and continued evaluation of military and
civilian personnel assigned to Presidential Support
Activities are contained in SECNAVINST 5312.12,
reference (e).
2. Presidential Support Activities are designated as
Category One and Category Two and the investigative
requirements vary according to the category of the
assignment.
a. Category One duties require an SBI.
b. Category Two duties require a BI except that
an NAC is also conducted on the subject's spouse and
any member of the subject's immediate family 18
years of age or older who is a U.S. citizen other than
by birth or who is not a U.S. citizen.
3. The U.S. citizenship of foreign-born, immediate
family members of Presidential Support nominees must
be verified by investigation.
4. The investigation required for either category of
duties must have been completed within the 12 months
preceding selection and must be updated by a PR every
five years. (See paragraph 21-13.)
21-12 OTHER INVESTIGATIVE REQUIREMENTS FOR
SPECIFIC PERFORMANCE OF DUTY
1. Investigative requirements for performance of
specific duties are as follows:
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OPNAVINST 5510.1G
20 APR 1884
a. The designated security manager of a command
(see paragraph 2-7) must have a BI.
b. Any person authorized to grant personnel se-
curity clearances must have a BI. Signing the clear-
ance entry in Part III of the Certificate of Personnel
Security Investigation, Clearance and Access (OPNAV
Form 5520/20) is granting security clearance and the
signer must have a BI.
c. Any person selected to serve with a board,
committee, or other group responsible for adjudicating
personnel security cases must have a BI.
d. Any person selected for duties in connection
with formal programs involving the education and
training of military or civilian personnel must have an
NACI, NAC or ENTNAC prior to assignment. This re-
quirement applies to those assigned to formal pro-
grams and doesn't includes those incidentally involved
in training.
e. Any Navy military or civilian personnel as-
signed to communications duties must have completed
the investigative requirements for a Top Secret clear-
ance. (This requirement only applies to Marine Corps
personnel in the communications field who are officers
or staff NCO's.)
f. Investigative agents and those noninvestigative
personnel assigned to investigative agencies whose of-
ficial duties require access to investigative files and
material require an SBI.
g. Any Non-Appropriated Fund (NAF) personnel
assigned to positions of trust require an NAC by DIS.
A favorable prior investigation for Federal service will
satisfy this requirement if there has not been a break
greater than 12 months between the Federal service
and employment by Non-Appropriated Fund Instrumen-
talities.
h. An NAC by DIS is required on Red Cross or
United Service Organization (USO) personnel as a pre-
requisite for assignment to activities overseas. (See
SECNAVINST 5521.18, reference (M.) Immigrant
aliens require a BI.
i. Personnel whose duties involve access to or
security of chemical agents require an NAC completed
within the past five years before assignment, in accor-
dance with SECNAVINST 5510.29B of 11 May 1979
(NOTAL) (Chemical Agent Security Program).
j. Department of the Navy employees, appointed
as custom inspectors under waiver approved in accord-
ance with SECNAVINST 5840.6 of 13 Apr 1972
(NOTAL) require an NAC completed within the past
five years.
k. Consultants hired under civil service proce-
dures (as opposed to consultants under the Defense
Industrial Security Program) for sensitive duties
require an NACI by OPM or, if access to Top Secret is
required, a BI by DIS.
2. Normally, entry into restricted areas is limited to
individuals who either have been investigated and
21-6
cleared or are escorted by cleared personnel. In
exceptional situations, when unescorted entry into
restricted areas is necessary for contractor employees
who cannot be investigated and cleared under the De-
fense Industrial Security Program because their duties
do not otherwise require access to classified infor-
mation, an NAC to determine trustworthiness may be
conducted when the following conditions have been
satisfied:
a. The entry into restricted areas is required
regularly (at least weekly);
b. The command is vulnerable to sabotage and its
mission is of critical importance to national security;
c. A request for authorization to conduct an NAC
has been submitted to CNO (0p-009P), for approval by
the Deputy Under Secretary of Defense for Policy
(DUSD(P)), with a justification clearly detailing the
importance of the command's mission to the national
security, its vulnerability to sabotage, and the need for
unescorted entry; and
d. DUSD(P) has authorized the investigation.
3. PSI's for purposes other than allowed by this regu-
lation will not be requested unless authorized after
detailed justification has been submitted to CNO (Op-
009P) and approved by DUSD(P).
21-13 REINVESTIGATIONS
1. An individual who has already been investigated
under the provisions of this regulation (see paragraph
21-18 for validity of prior investigations) will be re-
investigated only under the following conditions:
a. To meet a program requirement for assignment
or access to be based on an investigation completed
within a specified number of years;
b. To meet a program requirement for periodic
updating of the investigative basis for continued
assignment or access. (This is the only condition under
which a PR is requested.)
c. To assess the current eligibility of an individual
on whom a previous adverse security determination
had been made, if there are reasonable indications that
the basis for the adverse determination no longer
exists and there is a potential need for clearance; or
d. To resolve relevant issues that could have an
adverse impact on the security status of an individual
who holds clearance or is assigned to a position requir-
ing a trustworthiness determination. (See paragraph
21-2 Special Investigative Inquiry.)
2. Reinvestigation under conditions other than lb is
not a Periodic Reinvestigation (PR). It is not request-
ed as a PR, nor documented as a PR. It is important
that you make this distinction. Unless a PR is author-
ized, the investigation is requested as a new investiga-
tion of the type required. For example, if entry into a
program requires a BI completed within the past five
years (condition la), and the candidate has a BI older
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20 APR 1984
?
than five years, reinvestigation is authorized, but the
investigation requested is a BI, not a BI-PR.
3. i?T4heiispecificjp?tonamsatortawhichimeinvatigatiOriiiiSIIIIi.
gigauthonizecisaile:
a. Initial assignment to the Personnel Reliability
Program (PRP). The investigation required for the bil-
let (BI or NAC) must have been completed within the
past five years. Reinvestigation is also authorized for
reassignment to the PRP of those who have been out
of the program for more than five years and have not
had an investigation within the last five years satis-
fying the requirement, or for reassignment of military
personnel who have had a break in active duty greater (
than one year. Periodic reinvestigation (PR) is not
required for continued PRP assignment.
b. Assignment to a NATO billet. The investiga-
tive basis for the U.S. clearance (BI or NAC, depending
on the NATO access the billet requires) must have
been completed within the past five years. Continued
assignment to a NATO billet requires a PR every five
years. (See NOTE 1 for NAC-PR and NOTE 2 for BI-
PR.)
e. Assignment involving access to or security of
chemical agents. An NAC must have been completed
within the past five years. PR is not required for
continued assignment.
d. Assignment as a customs inspector. An NAC
must have been completed within the past five years.
PR is not required for continued assignment.
e. nogieTpeamp- _Ent/WM:111inf Oran AU?
(SOI)tuirArnaSBI pretaltoraupdate
swithinathempastielvesyearstiKtaaRieV r
requiredeffigSEIMMTr. (See NOTES 2 and
3.)
f. Assignment to Presidential Support duties. An
SBI (for Category One) or BI (for Category Two) must
have been completed within the past twelve months.
A PR every five years is required for continued
assignment (See NOTE 2.)
g. Continued access to Top Secret (including
SIOP-ESI). A PR is required every five years for
continued TS access. (See NOTES 2 and 3.)
h. Continued assignment in a civilian critical-
sensitive position. A PR is required every five years.
(See NOTES 2 and 3.)
i. Continuation of the Limited Access Authori-
zation granted to foreign nationals employed by the
Department of the Navy overseas. A PR is required
every five years. (See NOTE 4.)
NOTE 1. The PR consists of a review of locally
available records, an NAC and a check of the security
files of the host government when permissible under
the laws of that country.
NOTE 2. The PR consists of a command review of
locally available records, and DIS investigation to
include a personal interview, an NAC, local agency
21-7
checks, credit checks, interviews of at least two
employment references and two developed references,
and additional elements as necessary to resolve
questionable or unfavorable information.
NOTE 3. 4Theanumber?DfiaFtisxfArmaccessirtomMaordessw
Top Secret, and for civilian critical-sensitive positions
Asalimited?byftemonthlyarquoterassignedsby?BISviaDIS will
accept these PR requests only from the single point of
contact for each DOD department or agency. Submit
SBI-PR's for SCI access to COMNAVINTCOM or COM-
NAVSECGRU. Submit PR's for Top Secret access or
assignment to civilian critical-sensitive positions to
CNO (0p-009P), Washington, DC 20350. DO NOT
SUBMIT THESE PR REQUESTS TO DIS.
NOTE 4. The PR consists of a command review of
an updated personnel security questionnaire and locally
available records, a DCII check, and a check of the
security files of the host government by the military
investigative organization having jurisdiction in the
overseas area, when permissible under the laws of the
host country. The results of the PR are then submit-
ted to CNO (0p-009P). (See paragraph 24-9.)
21-14 REQUESTS FOR PERSONNEL SECURITY
INVESTIGATIONS
1. Submit requests for PSrs only for appointment or
enlistment purposes; or when necessary to provide the
investigative basis required for the level or kind of
access, position or duties; or when necessary to prove
or disprove allegations relating to the criteria in
paragraph 22-2 concerning an individual who holds a
security clearance or is assigned to duties requiring a
trustworthiness determination. Before initiating an
investigation, you must determine that the individual
does not have a valid investigation (see paragraph 21-
18) which satisfies the requirements and that person-
nel, medical, legal, security and other locally available
records do not contain information which clearly indi-
cates that the individual is not a proper candidate for
a position of trust.
2. Military personnel are to be screened before a PSI
(other than an ENTNAC) is initiated to be sure suffi-
cient obligated service remains to warrant investiga-
tion. Only in extraordinary circumstances will inves-
tigation be requested for military personnel with less
than nine months' service remaining.
3. Before the request for investigation for access to
sensitive compartmented information (SCI) is submit-
ted, the nominee must be personally interviewed by
the command at which currently assigned. If the com-
mand has a Special Security Officer, the SSO is to con-
duct the interview. If that is not possible, or if the
command does not have an SSO, the interview is to be
conducted by the commanding officer or one of the
following officials designated in writing by the com-
manding officer: executive officer, security manager,
personnel security specialist, personnel officer or
counterintelligence or investigative personnel organic
to the command. Clerical personnel are not author-
ized to conduct these interviews. Guidance on con-
ducting the personal interview for SCI access under
the cognizance of Commander, Naval Intelligence
Command is contained in exhibit 21A. Commander,
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OPNAVINST 5510.1G
20 PR 1984
Naval Security Group Command has an established
program and organization for personal interviews of
personnel under the security cognizance of or ordered
to billets under the control of COMNAVSECGRU.
Separate guidance on action to be taken on those per-
sonnel will be received from COMNAVSECGRU as
needed. Exceptions to the personal interview require-
ment apply under the following circumstances:
a. The requirement for interview is waived for of-
ficers in command status. Officers in command status
include commanding officers and unit commanders who
have been formally screened for command by a com-
mand selection board.
b. Contractor personnel nominated for access to
SCI will be interviewed by DIS unless a specific
program has been authorized by CNO (0p-009P) to use
other procedures.
4. When a BI or SBI is required incident to transfer,
the losing command must put the anticipated transfer
date and the gaining command (and any intermediate
stations) in item 20, on the Request for Personnel
Security Investigation (DD Form 1879). DIS must have
this information to facilitate investigation.
5. The commanding officer or other designated clear-
ance authority must personally validate the request for
BI for an immigrant alien. A certification will be
placed in item 20, Remarks, on the DD Form 1879,
stating "Investigation required to meet essential
operating requirements of the Navy (or Marine
Corps)". The clearance authority will affix his or her
signature and official title under this certification.
6. Any request for investigation of a commanding of-
ficer or other commander authorized to grant security
clearances has to be submitted by the next senior in
the chain of command and the results returned to the
senior for adjudication and granting clearance.
7. Whenever it becomes necessary for a commanding
officer to authorize access to a member of another
military department or Department of Defense agency
who has not been granted the required clearance, he or
she will submit the request for investigation to the
Defense Investigative Service and the request for
clearance to the parent organization. When a member
of the Department of the Navy is assigned to another
service or component of the Department of Defense,
including the unified and specified commands, and the
user activity finds it needs to authorize access to
classified information to an individual who has not
been granted the required clearance, the user activity
will submit the request for investigation to DIS and the
clearance request to the authority prescribed in para-
graph 23-4.
8. Requests for investigation for Navy and Marine
Corps Reservists are to be submitted by the active
duty command holding the service record or exercising
administrative jurisdiction.
9. All requests for investigation of contractor person-
nel, using authorized industrial security forms, are
processed by the Defense Industrial Security Clearance
21-8
Office (DISCO), except for programs with specific
approval from CNO (0p-009P) to use other procedures.
21-15 PREPARATION AND SUBMISSION OF
INVESTIGATION REQUESTS
1. Submit investigation requests on the forms indica-
ted in paragraph 5 below, prepared according to the
detailed procedures in exhibits 21B through 21J. The
justification for the request must be explicit on the
request form submitted to the investigating agency.
2. New investigative forms have been developed to
replace the Statement of Personnel History (DD Form
398) and the National Agency Check Request (DD
Form 1584). The replacement for the SPH is the Per-
sonnel Security Questionnaire (BI/SBI) with the same
DD 398 form number. The first part of the form
(items 1 through 13) is used for the NAC portion of a
BI or SBI, so a separate NAC request for the subject is
not required. One set of the PSQ (BI/SBI) comprises an
original and one copy of the complete form plus three
copies of the first part (items 1 through 13). The SPH
is still available in stock or in command supplies, and
may be used until supplies are exhausted. When the
SPH is used as part of a BI/SBI request package, an
NAC request form must also be used. The replace-
ment for the NAC Request (DD Form 1584) is the Per-
sonnel Security Questionnaire (National Agency Check)
(DD Form 398-2). As the DD Form 1584 is no longer
available through the supply system and command
stock on hand should be depleted by the time this regu-
lation is distributed, references to and instructions for
use of the DD Form 1584 have been eliminated.
3. The FD 258 (Fingerprint Card) acceptable to the
FBI is printed in blue, on index-weight paper with a
clipped upper left corner, and carries the stock number
S/N 0104-LF-400-8602 with a revision date of 7/77 or
later. Any FD 258 which does not meet these specifi-
cations cannot be used in conjunction with a PSI.
4. When the results of an investigation are to be re-
ported to a central adjudication authority, make sure
the forms identify, with the complete address, the
duty station to be notified after the adjudication.
5. As forms prepared by an individual for personnel
security investigation constitute solicitation of person-
al information protected by the Privacy Act of 1974, a
standard statement advising an individual of his or her
rights has been prepared and is available through the
same supply source as the forms or has been integrated
with new forms. (A sample Privacy Act statement is
exhibit 22K.) Provide the individual with the Privacy
Act statement applicable to a form at the time he or
she is requested to complete the form. Although the
individual is not required to acknowledge receipt of
the advisement nor are you required to maintain a
record of that action, commanding officers have an
absolute responsibility for ensuring that individuals,
from whom personnel security investigation forms are
requested, do receive this protection of the law. Do
not send Privacy Act statements with the investigative
forms to the agency conducting the investigation. If
an individual refuses to provide or permit access to
relevant information for investigative purposes, after
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OPNAVINST 5510.1G
20 APR 1984
being advised of the effect of the refusal, terminate
administrative processing for access to classified in-
formation or assignment to sensitive duties. The indi-
vidual will not be eligible for access or assignment to
sensitive duties unless the information is made avail-
able.
6. Submit requests as follows:
a. National Agency Check (NAC) and Entrance
National Agency Check (ENTNAC)
(1) For an NAC, use the Personnel Security
Questionnaire (National Agency Check) (DD Form 398-
2) (exhibit 21B) and the Fingerprint Card (FD 258)
(exhibit 21C). The ENTNAC, on inductees and first-
term enlistees, is normally initiated at the Military
Entrance Processing Station (MEPS) using the DD 398-
2 and a Police Record Check (DD Form 369) (exhibit
21D) instead of the FD 258.
(2) Prepare an original and one copy of the
DD 398-2 and one FD 258 (or DD 369).
(3) Place one copy of the DD 398-2 in the
official personnel record of the subject.
(4) Send the original DD 398-2 and the FD 258
(or DD 369) to:
Personnel Investigations Center
Defense Investigative Service
Post Office Box 1083
Baltimore, MD 21203
b. National Agency Check and Inquiry (NACI)
(Civilians Only)
(1) Prepare an original and two copies of Data
for Nonsensitive or Noncritical-Sensitive Position
(SF-85) (exhibit 21E) and one U.S. Office of Personnel
Management Fingerprint Chart (SF-87) (exhibit 21F).
(2) Place a signed copy of the SF-85 in the of-
ficial personnel folder (OPF) as a tickler, and retain it
until final action is taken.
(3) Send the original SF-85, the SF-87, and the
original application submitted by the appointee
(usually the SF-171) to:
Office of Personnel Management
Division of Personnel Investigations
NAC! Center
Boyers, PA 16018
e. Background Investigation (BI)
(1) Prepare:
(a) An original and three copies of the
Request for Personnel Security Investigation (DD Form
1879) (exhibit 21G).
(b) An original and two copies of the
complete Personnel Security Questionnaire (1:31/SBI)
21-9
(DD Form 398) (exhibit 21H) and three copies of the
first part (items 1 through 13) of the PSQ (BI/SBI).
(See NOTE)
(c) An original Authority for Release of
Information and Records (DD Form 2221) (exhibit 211).
(d) One Fingerprint Card (FD 258).
NOTE: If you are using the Statement of Personal His-
tory (DD Form 398) (exhibit 21J) rather than the PSQ
(BI/SBI), prepare an original and five copies and an
original and two copies of the PSQ (NAC) (DD Form
398-2).
(2) Place one copy of the DD Form 398 (com-
plete PSQ or SPH) in the official personnel record of
the subject.
(3) Place one copy of the DD Form 1879 in
the official personnel record as a tickler, and retain it
until results are received and final action taken.
(4) Send the original and two copies of the DD
Form 1879, original and one copy of the complete PSQ
(BI/SBI) and the three copies of the first part of that
form (items 1 through 13) (or the original and four
copies of the SPH and the original and two copies of
DD Form 398-2), the DD Form 2221 and the FD 258 to:
Personnel Investigations Center
Defense Investigative Service
Post Office Box 454
Baltimore, MD 21203
d. Special Background Investigation (SBI)
(1) Prepare the same forms as required for a
BI plus an original and two copies of the PSQ (NAC)
(DD Form 398-2), completed through item 8, for the
subject's spouse and for each member of the subject's
immediate family who is a foreign national, immigrant
alien, or naturalized U.S. citizen. If the SBI is for SCI
access, prepare an additional copy of each form in the
request package (except the Fingerprint Card FD 258).
(2) Place one copy of the DD Form 398 (PSQ
or SPH) in the official personnel record of the subject.
(3) Place a copy of the DD Form 1879 in the
official personnel record and retain it until results are
received and final action is taken. If the SBI is for SCI
access, and the command has a Special Security Offi-
cer (SSO) who is submitting the request, the SSO is to
give the security manager the copy of the DD Form
1879 and DD Form 398 for the personnel record.
(4) If the SBI is for SCI access, send the extra
copy of each form to:
Commander, Naval Intelligence Command
(NIC-41)
4600 Silver Hill Road (NIC Bldg. 1)
Washington, DC 20389
Or
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OPNAVINST 5510.1G
20 APR 1984
Commander, Naval Security Group
Command (G-12)
3801 Nebraska Avenue, NW
Washington, DC 20390
(5)
Send the rest of the forms to:
Personnel Investigations Center
Defense Investigative Service
Post Office Box 454
Baltimore, MD 21203
e. Periodic Reinvestigation (PR). Preparation of
the forms for a PR is the same as for the basic inves-
tigation. Place a copy of the DD Form 1879 in the
official personnel record and retain it until results are
received and final action taken, then destroy it. See
paragraph 21-13 NOTE 3 for submission of PRs for
SCI, Top Secret and civilian critical-sensitive posi-
tions. Submit other PRs to:
Personnel Investigations Center
Defense Investigative Service
Post Office Box 454
Baltimore, MD 21203
f. Special Investigative Inquiry (SII). Submit a
request for SII on the DD Form 1879. Attach any addi-
tional investigative forms (DD Form 398, NACI, NAC
or ENTNAC results, FD 258) needed by DIS to resolve
the issue. Prepare an extra copy of each and send the
copy of the request package to your servicing Naval
Investigative Service office (see appendix D). For ci-
vilians, send a copy of the DD Form 1879 to NCPC if
the SII is to expand an OPM NACI. (Do not place a
copy of the DD Form 1879 in the official personnel
record if it contains unfavorable information.) Submit
the original request package to DIS Personnel Investi-
gations Center (P.O. Box 454). In case of urgent need
for an SII, or when mailing the request to DIS PIC
would prejudice timely pursuit of investigative action,
you may direct the request to the nearest DIS Field
Office. Overseas, a request for an SII on an overseas
subject may be submitted directly to the military in-
vestigative organization with investigative responsibi-
lity in the area concerned, with a copy of the request
to DIS. In that case, the military investigative organi-
zation will complete the investigation and forward the
report to DIS, with a copy to the requester.
g. Defense Central Index of Investigations (DCII)
Check. Submit a request for DCII Check to Naval In-
vestigative Service Headquarters by letter or mes-
sage. Include the subject's full name, rank/rate, social
security number and date and place of birth.
21-16 FOLLOW-UP ACTIONS ON INVESTIGATION
REQUESTS
1. If the investigation request is rejected by the
investigative agency because the forms were not com-
pletely or properly executed, and investigation is still
required, take corrective action immediately and re-
submit the request. All of the forms being resubmit-
ted and the copy of the request form which was placed
in the official personnel record are to be annotated
with the resubmission date. If the subject has been
21-10
transferred, forward the request package immediately
to the gaining command for correction and resubmis-
sion.
2. If an investigation is in a pending status and the
subject is released from active duty, is discharged, or
resigns, the investigation is to be promptly cancelled.
If an individual is transferred from the command,
allow the investigation to proceed unless it is evident
that the investigation will not be required after
transfer.
3. When an individual is transferred after a BI or SBI
has been requested, the losing command will notify DIS
of the proper recipient of the results of the investiga-
tion. DIS will be notified by a corrected copy of the
DD Form 1879. (This procedure is not required for
NACIs, NACs or ENTNACs.) A copy of the corrected
DD Form 1879 will replace the copy in the official
personnel record.
4. If results of an investigation are not received with-
in a reasonable time, tracer action may be initiated.
Tracer action on an NAC or ENTNAC should not be
taken until at least 60 days after submission of the
investigation request. NACI tracers should not be sent
until at least 90 days after submission of the investiga-
tion request. Tracer action will not be initiated until
at least 90 days after submission of a request for a BI
or SBI. Requests for the status of an SBI for access to
SCI will not be directed to Commander, Naval Intelli-
gence Command or Commander, Naval Security Group
Command until at least 120 days after submission of
the request and only after coordination with the local
or servicing SSO or Special Access Program Officer.
Tracer action is accomplished by forwarding, to the in-
vestigative agency, a copy of the request form which
had been placed in the official personnel record, with
the word TRACER printed or stamped in large letters
across the face of the form. (See also paragraph 21-19
on verification of prior investigations.)
21-17 REPORTS OF INVESTIGATION
1. The investigating agency will forward the results to
the command indicated on the investigation request to
receive the results.
a. NAC or ENTNAC. DIS forwards results of an
NAC or ENTNAC as Report of NAC/ENTNAC (RON)
on DIS Form 1. The date on the RON is the date of
completion of the investigation. If the NAC or
ENTNAC disclosed unfavorable information which re-
quired expansion of the investigation, the results are
forwarded under DIS Form 1, transmitted by PIC Form
13. The date on the PIC Form 13 is the date of com-
pletion of the investigation. DIS NAC's on civilians
are sent to Naval Civilian Personnel Command by DIS.
b. NACI. OPM reports completion of NACIs as
follows:
(1) All NACIs for nonsensitive positions are re-
ported to the requester (except those with unfavorable
loyalty information which are forwarded to Naval Ci-
vilian Personnel Command for review). The SF 85 and
the original application are returned to the requester
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OPNAVINST 5510.1G
20 APR 1984
(or to NCPC in loyalty cases) with the annotation on
the application that investigation was conducted under
Executive Order 10450 and the date.
(2) All satisfactory NACIs for noncritical-sen-
sitive positions are reported to the requester with the
SF 85 and the original application with the annotation
of investigation under E.O. 10450 and the date. All
unfavorable NACIs for noncritical-sensitive positions
are forwarded by OPM to NCPC for adjudication.
c. BI, SBI and PR
(1) DLS usually reports a BI or SBI (and the
periodic reinvestigation) by forwarding the Reports of
Investigation (RON) (DIS Form 1) with the DD Form
1879 stamped "attached documents forwarded for se-
curity determination". Sometimes, DIS reports a fa-
vorable BI or SBI (and PR) by stamped endorsement on
the DD Form 1879, with no ROI's attached.
(2) DIS reports BIs (or SBIs for access to SIOP-
ESI or assignment to an investigative agency) on civil-
ian personnel to NCPC for adjudication. If the results
of investigation are inadvertently returned to the re-
quester by DIS, forward them immediately to NCPC.
(3) DIS reports SBIs for access to SCI to
COMNAVINTCOM or COMNAVSECGRU for adjudica-
tion. Any results of an SBI from DIS in these cases,
received by the requesting command, are to be for-
warded immediately to COMNAVINTCOM or COM-
NAVSECGRU. After the SCI adjudication, COMNAV-
INTCOM or COMNAVSECGRU forwards the SBI on a
civilian to NCPC.
(4) All reports of SBI for assignment of mili-
tary personnel to NAVINVSERV are returned by DIS to
Headquarters, Naval Investigative Service for adjudi-
cation.
(5) When geographic or political situations pre-
vent the completion of a BI on an immigrant alien and
the individual's services are required in the interest of
national security, the requesting command is to for-
ward any results of the investigation and full details as
to the need for the individual's services (including the
access required) to CNO (0p-009P). The requesting
command will then be advised whether Secret or Con-
fidential clearance may be granted or that CNO (Op-
009P) has granted a Limited Access Authorization (see
paragraph 24-5) for specific tasks or projects.
d. SII. DIS forwards results of an SII to the re-
quester as a Report of Investigation. (SII's are not en-
tered on the Certificate of Personnel Security Investi-
gation, Clearance and Access (OPNAV Form 5520/20).)
2. In recognition of the sensitivity of personnel secur-
ity reports and records, particularly with regard to
personal privacy, handle results of investigation with
the highest degree of discretion. Control and safe-
guard results of investigation as described below unless
the results are reported as clearly favorable, with no
Investigative material attached; or by stamped en-
dorsement on the DD Form 1879; or by Report of
21-11
NAC/ENTNAC with all agencies checked with favora-
ble results. Any report of investigation which includes
any investigative material, favorable or unfavorable,
must be handled, stored, and transmitted in accord-
ance with the safeguards described.
a. Investigative reports are to be made available
only to those authorities who require access in the per-
formance of their official duties for the purposes of
determining eligibility for access to classified infor-
mation, assignment to sensitive duties, acceptance or
retention in the Armed Forces, appointment or reten-
tion in civilian employment, or for law enforcement
and counterintelligence purposes. PSI's will not be
made available to or communicated to selecting offi-
cials. For any other uses, specific written approval
must be obtained from the Deputy Under Secretary of
Defense for Policy via CNO (0p-009P). Restrict re-
production of investigative reports to the minimum
required for the performance of official duties. Des-
troy all copies of PSI's as soon as final action is
taken. Retention of PSI's longer than 120 days after
final action has been completed must be specifically
approved, in writing, by the investigating agency.
b. Store investigative reports in a vault, safe, or
steel filing cabinet having at least a lockbar and an ap-
proved, three-position, dial-type combination padlock,
or in a similarly protected container or area.
c. Do not show reports of investigation to the sub-
ject of the investigation without the specific approval
of the investigating agency. Under no circumstances
will reports of investigation be placed in the subject's
official personnel record.
d. When being transmitted by mail, or carried by
persons not authorized access, seal reports of investi-
gation in double envelopes or covers. The inner con-
tainer is to bear a notation that it is to be opened only
by an official designated to receive reports of person-
nel security investigations.
3. If the results of an investigation are received at a
command after the subject has been transferred within
the Department of Defense, forward the results to the
gaining command. Results of Department of Defense
investigations will be released outside the DOD only
with the specific approval of the investigating agency.
4. Record completed PSI's, (unless the subject is in a
category for which a certificate is not be be exe-
cuted), on the Certificate of Personnel Security Inves-
tigation, Clearance and Access (OPNAV Form 5520/
20). (See exhibit 22A) (Also, see paragraph 23-4 for
the distribution of OPNAV Form 5520/20 upon entry of
a completed PSI.) The adjudication of the investiga-
tion will also be recorded under the procedures in
chapter 22 for recording personnel security determi-
nations.
5. Report all adverse or unfavorable actions taken by
a command, based on the results of a DIS investiga-
tion, to DIS.
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OPNAV I NST 55 1 0 . 1G 11,
20 APR 1984
21-18 VALIDITY OF PRIOR PERSONNEL SECURITY
INVESTIGATIONS
1. A personnel security investigation (SBI, BI, IBI, FFI,
NACI, NAC or ENTNAC), completed by an agency of
the Federal Government, remains valid unless the indi-
vidual's continuous service has been interrupted for a
period greater than 12 months since completion of the
investigation. (See paragraph 22-7 for validity of
clearance.)
2. Continuous service consists of honorable active
duty (including attendance at the military academies);
"active status" in a military Reserve force (Ready Re-
serve or Standby Reservists not officially placed on
the Inactive Status List, National Guard, Air National
Guard, etc.); civilian employment in the Government
service; employment with a DOD contractor under the
Defense Industrial Security Program if the employ-
ment involved access to classified information; or a
combination of these types of service. Continuity of
service is maintained with change from one status to
another as long as there is no break greater than 12
months. Reenlistment within 12 months is considered
continuous service. Retired status does not constitute
continuous service. The service date on the OPNAV
Form 5520/20 is the date continuous service started.
3. If an individual has a valid investigation, regardless
of its age, you may not request further investigation
unless:
a. The investigation on record does not satisfy the
requirement specified in this chapter or in specific
program regulations for the level or kind of access, po-
sition or duty now under consideration. For example,
an NAC does not satisfy the requirement for Top Sec-
ret clearance, so a BI must be requested. Another
example is meeting the requirement for a specific pro-
gram, such as an NAC completed within the past 5
years for initial assignment to a Controlled billet in
the Personnel Reliability Program (see paragraph 21-
10). An NAC older than 5 years is still valid for
clearance purposes but does not satisfy the specific
requirement for the PRP and another NAC would have
to be requested.
b. Periodic reinvestigation is specifically required
for a program approved by CNO or higher authority
(see paragraph 21-13). For example, NATO requires
the investigative basis for clearance of personnel
assigned to NATO billets to be updated every 5 years.
(See paragraph 21-9.) A PSI may remain valid for
other purposes but not for NATO certification so a PR
would have to be requested every 5 years as long as
the individual was in a NATO billet.
c. Derogatory information becomes available
which requires investigation to resolve. In this case,
the further investigation would be a Special Investi-
gative Inquiry (SI?.
d. The current eligibility must be assessed of an
individual on whom an adverse personnel security de-
termination had been made, when there is a potential
need for clearance and there are reasonable indica-
tions that the factors on which the adverse determina-
2 1-12
tion was made no longer exist. The further investiga-
tion would be an SII.
4. An investigation conducted by a Federal agency
under the standards prescribed by Director of Central
Intelligence Directive (DCID) 1/14 is the equivalent of
an SBI.
5. An NACI conducted by OPM satisfies the require-
ment for an NAC for the purposes of this regulation.
An NAC is not sufficient, however, where an NACI is
specified. It is important to understand this differ-
ence. Often, a candidate for appointment to a civilian
sensitive position will have a valid NAC on record,
conducted while in the military service or DOD con-
tractor employment. That valid NAC can be used to
effect the appointment and as the basis for an interim
Secret clearance. But, an NACI is required for em-
ployment in a noncritical-sensitive position and for
final Secret clearance so the NACI request must be
submitted to OPM. For critical-sensitive positions, a
previously conducted, valid NAC may be used as the
basis for emergency appointment and, after the re-
quired BI has been requested of DIS, for interim Top
Secret clearance.
6. An NAC conducted incident to commissioning as an
officer or appointment as a warrant officer from
civilian status, is valid for clearance purposes.
7. If a foreign national employed by the Department
of the Navy acquires immigrant alien status or be-
comes a naturalized citizen, a satisfactory BI which
had been conducted as the basis for a Limited Access
Authorization is a valid basis for granting security
clearance, if clearance is required. A BI conducted on
a Philippine nonimmigrant alien on active duty with
the Navy, as the basis for Confidential clearance,
remains valid if the Navy member acquires immigrant
alien status or becomes a naturalized citizen. The
ENTNAC conducted on a non-U.S. citizen at the time
of enlistment may be used as the basis for clearance
after naturalization.
21-19 VERIFICATION OF PRIOR INVESTIGATION
1. When there is no valid certification of clearance or
documentation of completed investigation in the re-
cord, but there are clear indications that prior investi-
gation has been conducted which would still be valid
for current needs, request verification of the prior
investigation from the following:
a. Commander, Naval Military Personnel Com-
mand (NMPC 81), for naval personnel. (See below for
former naval personnel.)
b. Director, Naval Investigative Service for
(1) Marine Corps personnel.
(2) Civilian personnel.
(3) All former military and civilian personnel.
c. Defense Industrial Security Clearance Office
(DISCO) Columbus, OH 43215, for all present or
former DOD contractor employees.
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11, V OPNAVINST 5510.10
20 APR 1984
thority in paragraph 21-19, you may not request inves-
tigative agencies to forward prior investigative files
for review unless the review is essential to making a
personnel security, determination for one of the fol-
lowing reasons:
2. Formal verification of a valid investigation which
meets the current needs, received from the appropri-
ate authority above, will be accepted and used as the
source for clearance and access actions. Telephone
verification is not an acceptable basis for entries on
the Certificate of Personnel Security Investigation,
Clearance and Access (OPNAV 5520/20).
3. When civilian employees transfer from one com-
mand to another, the SF 75, Request for Preliminary
Employment Data, may be used to verify the clearance
held. That verification may be used as the basis for
granting access until the Official Personnel Folder
containing the OPNAV Form 5520/20 is received.
21-20 REQUESTS FOR PRIOR INVESTIGATIVE FILES
1. When there is a valid security clearance or Special
Access authorization on the record, or a prior valid
investigation has been verified by the appropriate au-
21-13
a. Significant derogatory information developed
subsequent to the date of clearance or Special Access
authorization is known to the requester.
b. The individual concerned is being considered
for a higher level of clearance, for a Special Access
authorization, or for initial assignment to a "high risk"
program.
2. Request for prior investigative files must be justi-
fied in writing, citing the specific justification. Re-
quests will include the date, level, and issuing organi-
zation of the individual's current or most recent secur-
ity clearance or Special Access authorization.
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OPNAVINST 5510.1G
20 APR 1984
?
EXHIBIT 21A
GUIDELINES FOR PERSONAL INTERVIEWS
1. Purpose. The purpose of the personal interview is
to eliminate the obviously unsuitable candidate from
consideration for access to sensitive compartmented
information (SCI) and thereby keep to an absolute mi-
nimum the number of personnel security investigations
conducted by Defense Investigative Service (DIS). The
guidelines that follow apply to interviews conducted
for SCI access under the cognizance of Commander,
Naval Intelligence Command (see paragraph 21-14).
2. The Interviewer. Persons conducting personal in-
terviews should have broad latitude in performing this
essential and important function and, therefore, a high
premium must be placed upon the exercise of good
judgment and common sense. To ensure that personal
interviews are conducted in a manner which does not
violate lawful civil and private rights or discourage
lawful political activity in any of its forms, or intimi-
date free expression of thought, it is necessary that
the interviewer have a keen and well-developed aware-
ness of, and respect for, the rights of the interviewee.
3. The Interview
a. Preparation. The interviewer will, before con-
ducting the interview, review all available command
personnel, security and medical records and compare
the instructions in exhibits 21B, 21C and 21H (or 21J)
on completing investigation forms with the investiga-
tion forms prepared on the subject.
b. Scope. Questions asked during the course of a
personal interview must have a relevance to a security
determination. Care must be taken not to inject im-
proper matters into the personal interview. For exam-
ple, religious beliefs and affiliations, or beliefs or
opinions regarding racial matters, political beliefs and
affiliations of a nonsubversive nature, opinions regard-
ing the constitutionality of legislative policies, and
affiliations with labor unions are generally irrelevant
topics. The interviewer should always be prepared to
explain the relevance of all inquiries.
c. Procedures
(1) The subject should be advised that the pur-
pose of the interview is to assist in determining his or
her acceptability for nomination and further process-
ing for access to sensitive compartmented information
prior to conducting a Special Background Investiga-
tion. The subject will be given the same Privacy Act
advisement as was provided with the Statement of
Personal History, or Personnel Security Questionnaire
(BI/SBI) (DD Form 398).
(2) All entries on the SPH or PSQ should be
reviewed with the subject to ensure that pertinent in-
formation has not been withheld inadvertently or pur-
posely. The subject should be reminded that a knowing
and willful false statement on the SPH or PSQ can be
punished by fine or imprisonment or both. Every ornis-
21A-1
sion, gap, inconsistency or similar defect in the SPH or
PSQ should be corrected. Ambiguous, evasive or irre-
levant responses on the form should be examined to
determine the basis for the responses and their signifi-
cance. Significant information which experience has
shown often has investigative merit (foreign travel and
connections or organizational affiliations) is often not
entered on the form because its importance isn't re-
cognized by the subject. The interviewer must ensure
that all information of potential investigative value is
brought to light. Listed misdemeanor arrests, nonspe-
cific charges such as disturbing the peace or public
nuisance, should be explored.
(3) The interviewer will offer the subject the
opportunity to contribute any additional information
he or she feels may be pertinent or might expedite
completion of the SBI. He or she will be informed that
the procedure is designed to preclude any future judg-
ment that significant information which might develop
during the conduct of the SBI was withheld intention-
ally.
(4) Advice regarding self-incrimination and the
right to counsel is not required where the subject is a
civilian and the interviewer is not a law enforcement
agent. Even when the subject is in the military, such
advice is not ordinarily required because the interview
is a screening process and not an interrogation in
which an incriminating response is sought or anticipa-
ted. If, however, the interviewer suspects a military
subject of an offense, care must be taken to ensure
that the subject is accorded his or her rights under the
Uniform Code of Military Justice. When the inter-
viewer suspects a military subject of an offense before
the interview commences, the subject will be advised
of his or her UCMJ rights. Check with the command
legal officer for the proper advisement before the in-
terview. If such a suspicion is developed during the
course of the interview, questioning will be interrupted
immediately and the subject will be appropriately ad-
vised of his or her rights. If a military subject wishes
to exercise the privilege against self-incrimination or
the right to counsel at any time before or during the
interview, the interview will cease immediately and
COMNAVINTCOM (NIC-41) will be contacted by the
interviewer for further guidance.
(5) If the subject refuses to be interviewed or
declines to provide information in response to specific,
pertinent questions, the interview will be terminated
and COMNAVINTCOM (NIC-41) will be contacted for
guidance. A command appraisal of the individual and
recommendations as to further processing should be
included in the report.
4. Report of Interview
a. All information developed during the interview
will be kept in personnel security channels and made
available only to those who have a need to know.
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OPNAVINST 5510.1G 11.
2O APR 1984-?
b. Any unfavorable or questionable information
developed during the interview should be reported to
COMNAVINTCOM, by letter or message, with a com-
mand appraisal of the individual and a recommendation
as to further processing. An information copy will be
sent to the Commander, Naval Military Personnel
Command or the Commandant of the Marine Corps
(INTS) as appropriate, for military personnel.
COMNAVINTCOM (NIC-41) will then provide advice as
to whether processing for SCI access should continue.
c. If the decision is made to continue processing,
unfavorable or questionable information developed
during the interview will be detailed in item 20 of the
DD Form 1879, or on an attachment, when the SBI
request is submitted in accordance with paragraph 5
below. Unfavorable or questionable information will
not be entered on the copy of the DD Form 1879
retained in the individual's official personnel record.
d. In all cases in which an SBI is requested for SCI
access, the DD Form 1879 will be annotated under
item 20 (Remarks) with the statement, "Personal in-
21A-2
terview conducted by (cite billet title of the inter-
viewing official)." If it is impossible to conduct the
interview, the reason must be fully justified on the DD
Form 1879.
5. Request for Investigation. When it has been deter-
mined that an SBI will be requested, commands with
SSO's will continue the present procedure of submit-
ting the forms directly to DIS, with an information
copy, plus the SSO 111, (NAVINTCOM Form 5510/12),
to COMNAVINTCOM (NIC-41). Commands without
SSO's will forward the investigative package directly
to DIS with one copy of each form, less the fingerprint
card, to COMNAVINTCOM (NIC-41), 4600 Silver Hill
Road, (NIC Bldg 1), Washington, DC 20389. If the
investigation is being requested incident to transfer,
put the anticipated transfer date and the gaining
command (and any intermediate stations) in item 20 of
the DD Form 1879. For Navy personnel enter the
SUPERS order number, also. On all requests, the
"Return Results to" block on the DD Form 1879 will
show the COMNAVINTCOM address above.
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OPNAVINST 5510.1G
2 0 APR 1984
?
EXED:3IT 2113
DETAILED INSTRUCTIONS FOR COMPLETING DD FORM 398-2
(PERSONNEL SECURrTY QUESTIONNAIRE (NATIONAL AGENCY CHECK))
(SEE COVER SHEET ON FORM FOR PRIVACY ACT STATEMENT AND GENERAL INSTRUCTIONS)
Item 1: (NAME)*
a. List your name in the following order:
last name, first name, and middle name. Names should
agree with military or civilian employment records; if
not, explain on an attached sheet of plain white paper.
(1) If no middle name enter "NMN."
(2) If name consists of initial(s) only, enter
the appropriate initial(s) followed by "(10)."
(3) Include additional designations such as Jr.,
Sr., II, (2nd), III, (3rd), when applicable.
b. List maiden name (if applicable).
Item 2: (ALIASES) List any other name by which you
are or have been known. Include former names, chang-
es in name, nicknames, or variant spellings used. If
the name has changed, explain why, when, and where
such change took place on an attached sheet of plain
white paper. Also provide the inclusive dates any
other name was used.
Item 3: (SEX)* Enter "Male" or "Female."
Item 4: (SOCIAL SECURITY NUMBER)*
Self-explanatory.
Item 5: (DATE OF BIRTH)* Give the year, month,
and day of your birth using the last two digits of the
year, a two digit number for the month, and a two
digit number for the day, e.g., 1 August 1944 would be
entered as 44-08-01.
Item 6: (PLACE OF BIRTH)* List your place of birth
in the following order:
a. City. (Do not abbreviate.)
b. County. (Do not abbreviate.)
c. State. (Use two-letter abbreviations for the
state.)
d. Country (if other than the U.S.). (Do not
abbreviate.)
Item 7: (CIVILIAN OR MILITARY STATUS) Check
either:
a. Civilian, or
b. Military.
c. Grade.* If civilian and employed by the
Federal Government, enter appropriate grade. If civil-
ian and not employed by the Federal Government, en-
ter "N/A." If military, enter appropriate pay grade.
21B-1
d. Branch of Service.* If military, place an "x" by
the appropriate branch of service.
Item 8: (CITIZENSHIP STATUS) Check either:
a. US. citizen, or
b. Alien.
If U.S. citizen:
c. Native. Check either "yes" or "no". ("Native"
includes those who are U.S. citizens by birth even if
born outside the U.S.)
d. Naturalization Certificate Number. If natural-
ized, provide naturalization certificate number.
e. Derived Citizenship. If citizenship is derived
through naturalization of parent(s), list the number of
your Certificate of Citizenship. If no Certificate of
Citizenship was issued to you, enter the naturalization
certificate number(s) of parent(s) from whom citizen-
ship is derived.
f. Date. List date Certificate of Naturalization
or Certificate of Citizenship was issued.
g. Place. List city and state where Certificate of
Naturalization was issued or Certificate of Citizenship
was obtained.
h. Court. List the name of the court where the
Certificate of Naturalization is recorded (not required
for Certificate of Citizenship.)
If alien:
i. Registration Number. List alien registration
number. (See item m.)
j. Current Citizenship. List the country of which
you are currently a citizen.
k. Date of Entry. List date you entered the
United States.
1. Port of Entry. List the city and state where
you entered the United States.
m. Form 1-151 or 1-551 Number. List above regis-
tration number.
Item 9: (FORMER MILITARY SERVICE) Indicate
each period of enlistment or extended active duty
from which a discharge certificate of service was re-
ceived even though you may have been ordered back to
active duty the next day. If service was with foreign
armed forces, identify the foreign country on an at-
tached sheet of plain white paper. Officers who have
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OPNAVINST 5510.1G
20 APR 1984
had prior enlisted or warrant service or who have been
integrated into regular status will include the appli-
cable information in this item. Reserve or National
Guard service will be shown in this item.
a. From.* Enter date service began.
b. To.* Enter date service ended. (If currently on
active duty enter "present" for the latest entry and ap-
propriate ending dates for all other periods of service.)
c. Branch.* List the branch of service.
d. Rank.* List rank as of the date of discharge
from each period of service.
e. Service Number(s).* If you entered the U.S.
Armed Forces after January 1970, the service number
is the same as the Social Security Number. If you en-
tered the U.S. Armed Forces before January 1970, but
did not receive your discharge until after January
1970, enter both your Social Security Number and your
original service number.
f. Type of Discharge. Self-explanatory.
Item 10: (FAMILY/ASSOCIATES) List father, mother,
spouse, and children. Also list guardians, stepparents,
foster parents, brothers and sisters, stepbrothers and
stepsisters, and other relatives or friends to whom you
are bound by affection or obligation, if such persons
are residing in or are citizens of any foreign country.
a. Relationship and Name.* Enter the individual's
relationship to you if not already provided on the
form. Enter the individual's name. Include maiden
name of mother and spouse (if applicable).
b. Date of Birth.* Provide date of birth for all
persons listed in terms of year, month, and day using
the last two digits of the year, a two digit number for
the month and a two digit number for the day, e.g., 1
August 1944 would be entered as 44-08-01.
c. Place of Birth.* List city and state or country
(if other than the U.S.).
d. Address.* Provide the current address of each
person listed. (If person listed is deceased, enter
"Deceased.")
e. Citizenship.* Enter citizenship of each person
listed.
Item 11: (RESIDENCES) List all places of residence
during the last 5 years in chronological order beginning
with the current address. If you are under 21, list resi-
dences for the past 3 years or since your 16th birthday,
whichever is the shorter period.
a. Dates.* Give the inclusive dates for each
period of residence.
b. Number and Street.* Do not list a permanent
mailing address or family residence in this item unless
you actually resided at such address during the period
21B-2
listed. Furnish residence address in local community
or on base/installation while in military service. If the
residence was on a military installation, include the
complete on-base address, to include barracks or house
number. List the actual place of residence while at-
tending school. Do not list merely the name of the
school or "On Campus" as a place of residence. If you
give a metropolitan address, list the borough or suburb.
c. City.* (Do not abbreviate.)
d. State.* (Use two-letter abbreviations for the
State.)
e. Country.* (Do not abbreviate.)
f. Zip Code.* Self-explanatory.
Item 12: (DUTY OR EMPLOYMENT ORGANIZA-
TION) List in chronological order beginning with the
present, each period of employment (to include part-
time employment and unemployment) during the last 5
years. If under 21, list each period for the last 3 years
or since your 16th birthday, whichever is the shorter
period. If unemployed and not attending school full
time during any period, list the name and current ad-
dress of an individual who can verify your activities
during the unemployment period on an attached sheet
of plain white paper.
a. Dates.* Provide the inclusive dates for each
period of employment, part-time employment, and un-
employment.
b. Name* of Employer. Military personnel should
identify each unit, organization, or station to which
assigned during the most recent 5-year period. If self-
employed during any period, list the name and address
of the business. If any period of employment was for a
temporary help supplier, list only the temporary help
supplier as the employer, even though work may have
been performed at different locations with client com-
panies using the temporary help supplier's services. If
employed through a union hiring hall, list firms by
which employed. Do not list the union as an employer
unless the salary was, in fact, paid by the union.
e. Address.* Provide the address for each em-
ployment listed. If any period of employment was in a
large metropolitan area (e.g., New York, Chicago, Los
Angeles), include the borough or suburb. If employed
by a large manufacturing concern (i.e. Chrysler or
General Motors Corporation in Detroit, Michigan), give
the specific name and address of the plant where
employed.
d. Name* of Immediate Supervisor. List last
name, first name and middle initial.
Item 13: (FEDERAL SERVICE-FOREIGN TRAVEL-
FOREIGN CONNECTIONS)
a. Federal Service. List on an attached sheet of
plain white paper, the inclusive dates of service, name
and address of last organization. If already listed in
item 12, indicate "see item 12."
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b. Foreign Travel. List on an attached sheet of
plain white paper, all periods of foreign travel in the
last 5 years. Travel connected with the U.S. Govern-
ment should be identified as such. List inclusive dates
of travel for each country visited and the purpose of
the travel. Travel in cities or countries divided into
free world and Communist-oriented parts will indicate
in which part the travel was performed.
c. Foreign Connections. On an attached sheet of
plain white paper, explain the nature and extent of fo-
reign interests. If employed by or acted as a consul-
tant, identify the foreign government, firm, or agency
and describe the nature of employment or relation-
ship. If this information has already been provided in
response to item 12, indicate "see item 12."
Item 14: (ARRESTS) Check either "Yes" or "No" for
each question in this item. If "Yes" is checked, pro-
vide the following clarifying information:
a. Date.* Self-explanatory.
b. Nature of Offense. Any action that resulted in
the placement of your name on a police or court re-
cord (give docket number or indictment number, if
known) must be listed including any act committed
while still a juvenile or if you were considered a
"Juvenile Offender." List all Article 15, UCMJ, or
Captains' Mast if they resulted in fines, restrictions;
demotions, etc. (You may exclude minor traffic viola-
tions for which a fine of $100 or less was imposed.)
c. Name and Address of Police Agency. List the
name of the police agency on the top line and its ad-
dress (city or county and state), on the second line.
d. Name and Address of Court. List the name of
the court on the top line and its address (city or county
and state), on the second line.
e. Penalty Imposed or Other Disposition in Each
Case. Self-explanatory.
? When in doubt as to the necessity for listing
information in this item, it is recommended that inci-
dents be listed to preclude future questions regarding
omissions from the form.
Item 15: (MEDICAL/FINANCIAL) If "Yes" is ans-
wered to any of the questions, describe the circum-
stances on an attached piece of plain white paper.
Provide a full detailed statement.
a. Item 15a and b - Drug Abuse. Attached is a
listing of those drugs which have been designated as
controlled substances. If you illegally used, purchased,
possessed, or sold any of these drugs your response
OPNAV INST 5510.1G
20 APR 1984
should be affirmative and should identify the parti-
cular substance used and/or trafficked.
b. Item 15c and d - Medical. Response regarding
medical matters must identify theprimary physicians,
therapists, and counsellors who treated you and state
if the treatment is continuing or when it was complet-
ed. Response should also include dates, places, and
names of institutions or agencies involved.
c. Item 20e - Bankruptcy. In the case of bank-
ruptcy, give the date and court where judgment was
made.
Item 16: (ORGANIZATIONS)
a. List all organizations, except those referred to
in b., below, in which you hold or have held member-
ship.
(1) Name.* Provide the full name of the or-
ganization (do not use initials or abbreviations).
(2) Address.* List number and street, city,
and state or country, if other than the U.S.
(3) Identify the type of organization, e.g.,
social, fraternal, etc.
(4) From.
(5) To.
Provide the inclusive dates of
membership in terms of year
and month using the last two
digits of the year and a two
digit number for the month,
e.g., October 1979 would be
entered as 79-01.
b. Check either "Yes" or "No," for each question.
If "Yes" is checked, list on an attached sheet of plain
white paper, the full name of the organization (do not
use initials or abbreviations) and describe the circum-
stances of your membership or association. Provide a
full detailed statement to include dates, places, and
offices, positions or credentials now or formerly held.
If associations have been with individuals who are
members of the described organizations, then list the
individuals and the organizations with which they were
or are affiliated.
If the requester is not the same as the "Return Results
To" entry at the bottom of the form, show the request-
er at the top of the form. If the NAC is on the spouse
or other family member of the subject of an SBI, iden-
tify the subject of the SBI on the form. As only items
1 through 8 are completed on an NAC for that purpose,
a notation such as "Spouse of subject James Keene
Russell" can be placed in one of the unused portions of
the form.
? FOOTNOTE:
* Indicates standard data elements registered in the Doll Data Element Program under DoD 5000.12-M
21B-3
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W _
OPNAV I NST 5 5 1 0 . 1G
20 APR 1984
DRUGS
Narcotics
Opium
Morphine
Codeine
Heroin
Meperidine (Pethidine)
Methadone
Other Narcotics
Depressants
Chloral Hydrate
Barbiturates
Glutethimide
Methaqualone
Tranquilizers
Other Depressants
Stimulants
Cocaine
Amphetamines
Phenmetrazine
Methylphenidate
Other Stimulants
Hallucinogens
LSD
Mescaline
Psilocybin-Psilocyn
MDA
PCP
Other Hallucinogens
Cannabis
Marijuana
Hashish
Hashish Oil
2 18-4
OFTEN PRESCRIBED BRAND NAMES
Dover's Powder, Paregoric
Morphine
Codeine
None
Demerol, Pethadol
Dolophine, Methadone, Methadose
Dilaudid, Leritine Numorphan, Percodan
Noctec, Somnos
Amytal, Butisol, Nembutal, Phenobarbital,
Seconal, Tuinal
Doriden
Optimil, Parest, Quaalude, Somnafac, Sopor
Equanil, Librium, Miltown Serax, Tranxene,
Valium
Clonopin, Dalmane, Dormate, Noludar, Placydil,
Valmid
Cocaine
Benzedrine, Biphetamine, Desoxyn, Dexedrine
Preludin
Ritalin
Bacarate, Cylert, Didrex, Ionamin, Plegine,
Pondimin, Pre-State, Sanorex, Voranil
None
None
None
None
Sernylan
N one
None
None
None
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OPNAVINST 5510.1G
20 APR 1984
fir
SAMPLE DD FORM 398-2
PERSONNEL SECURITY QUESTIONNAIRE (National Mency Meek) DO 39$.71%
DATA REQUIRED BY THE PRIVACY ACT OF 197415 U.S.C. SS2at
AUTHORITY: Internal Security Act .1 1950 and Executive Orders 10450,12036, and 1206$
PRINCIPAL PURPOSES: To obtain background information for personnel security inveselptive and evaluative purposes in connection with the making co security
determinations with respect to (1) employment or retention in employment in sensitive Department of Definer civilian positions or for other positions that have
been designated as requiring a determination as to whether employment in or assignment to such positions is clearly consistent with the interests of national man-
Ity, (2) membership in the Armed Fortes of the United States, or (3) access to classified Information.
ROUTINE USES: (1) Determine the mope of a personnel scanty investiption.
(2) Provide evaluators or adjudicators with personal history information relevant to personnel security determinations.
The Information may be disclosed to other Federal agencies that are authorized under specific statutory or Executive authority to make personnel security deter-
minations.
A copy of the report of personnel security Investigation will be maintained by the Personnel investigations Center of the Defense Investigative Service Headquarters
and may be used in future employment or security clearance determinatioro. You have the right to obtain a COPy of the report of brosingation and/or to request
amendment to the
MANDATORY OR VOLUNTARY DISCLOSURE AND EFFECT ON INDIVIDUAL OF NOT PROVIDING INFORMATION:
Voluntary. Failure, however, to furnish all or part of the information requested may result In (1) nontelection for employment, membership in the Armed Forces,
or certain other duties requiring a determination as to whether employment in or assignment to such duties is clearly consistent with the interests of national SeCtlf?
Ity, (2) denial of access to classified information, or (3) reassignment to nomonsitive duties. Disclosure of your social security number is necessary to fulfill require-
ments of the above NNW authorities. It is intended that this notice be retained for personal records.
GENERAL INSTRUCTIONS FOR COMPLETING DD FORM 396-2
THE PERSONNEL SECURITY QUESTIONNAIRE (PSQ) IS AN IMPORTANT DOCUMENT AND MUST BE COMPLETED WITHOUT MISSTATEMENT OR
OMISSION OF IMPORTANT FACTS. ALL ENTRIES ARE SUBJECT TO VERIFICATION BY INVESTIGATION.
? THE FORM MUST BE TYPED OR PRINTED.
? IF ADDITIONAL SPACE IS REQUIRED FOR ANY ITEM, ATTACH ADDITIONAL SHEETS OF PLAIN WHITE PAPER. WHEN ATTACHING ADDITION-
AL SHEETS ALWAYS IDENTIFY THE ITEM NUMBER BEING CONTINUED AND FOLLOW THE FORMAT FOR ENTERING INFORMATION PRE-
SCRIBED ON THE FORM AND IN THE DETAILED INSTRUCTIONS.
? ALL QUESTIONS MUST BE ANSWERED. IF AN ITEM IS NOT APPLICABLE INDICATE "NOT APPLICABLE" OR "N/A." DO NOT USE THE TERM
"UNKNOWN" FOR DATES OF EMPLOYMENT OR RESIDENCE. IF THIS INFORMATION IS NOT KNOWN PRECISELY, GIVE THE DATE AS BEST
YOU CAN RECALL FOLLOWED BY APPROPRIATE QUALIFYING LANGUAGE. E.G., "DATE ESTIMATED" OR "APPROX."
? UNLESS OTHERWISE SPECIFIED:
? ALL ErATES SHOULD BE ENTERED IN TERMS OF YEAR AND MONTH USING THE LAST TWO DIGITS OF THE YEAR AND A TWO DIGIT NUM-
BER REPRESENTING THE MONTH, E.G., JANUARY 1979 WOULD BE ENTERED AS 79.01 AND DECEMBER 1979 WOULD BE ENTERED AS 79-
12.
? NAMES OF PERSONS SHOULD BE ENTERED IN THE FOLLOWING ORDER: LAST NAME, FIRST NAME AND MIDDLE INITIAL.
? ADDRESSES SHOULD INCLUDE THE NUMBER AND STREET, CITY, STATEIOR COUNTRY, AND ZIP CODE.
? BEFORE ENTERING ANY INFORMATION ON THE FORM READ CAREFULLY THE DETAILED INSTRUCTIONS PROVIDED WITH THE FORM.
IF AT ANY TIME DURING COMPLETION OF THE FORM, A QUESTION ARISES THAT DOES NOT APPEAR TO BE COVERED BY THE DETAILED
INSTRUCTIONS, CONTACT THE INDIVIDUAL OR OFFICE THAT PROVIDED YOU WITH THE FORM.
? BEFORE SIGNING THE FORM, READ IT CAREFULLY AND CHECK EACH ITEM AGAINST 'THE DETAILED INSTRUCTIONS.
SON 01034.140004101110
21B-5
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EXHIBIT 21C
INSTRUCTIONS FOR COMPLETING FD 258
(APPLICANT FINGERPRINT CARD)
The FD 258 is used for personnel security investi-
gations submitted to the Defense Investigative Serv-
ice, except ENTNAC's for which the DD Form 369 is
used. (Investigations submitted to the Office of Per-
sonnel Management require the SF 87, U.S. OP IVA Fin-
gerprint Chart.) The FD 258 to be used is printed in
blue, on index-weight paper with a clipped upper left
corner and carries the stock number S/N 0104-LF-400-
8602 with a revision date of 7/77 or later. Other
revisions may not be used.
The information required on the front of the FD
258 is full name, aliases, citizenship, race, sex, height,
weight, color of hair and eyes, date and place of birth,
social security number, residence of the person being
fingerprinted, employer and address, and the reason
the fingerprints are being submitted. The form must
be signed by the subject, dated, and signed by the offi-
cial taking the fingerprints. The FBI requires that all
of the information above be supplied and will reject in-
complete cards. The Privacy Act advisement (exhibit
21K) must be given to any person being fingerprinted.
RECOMMENDED EQUIPMENT
The basic equipment required for taking finger-
prints consists of an inking plate, a cardholder, prin-
ter's ink (heavy black paste), and a roller. This equip-
ment is simple and inexpensive.
To obtain clear, distinct fingerprints, it is necessa-
ry to spread the printer's ink in a thin, even coating on
a small inking plate. A roller similar to that used by
printers in making galley proofs is best adapted for use
as a spreader. Its size is a matter determined by in-
' dividual needs and preferences; however, a roller ap-
proximately 6 inches long and 2 inches in diameter has
been found to be very satisfactory. These rollers may
be obtained from a fingerprint supply company or a
printing supply house.
An inking plate may be made from a hard, rigid,
scratch-resistant metal plate 6 inches wide by 14 in-
ches long or by inlaying a block of wood with a piece
of glass of an inch thick, 6 inches wide, and 14 inches
long. The glass plate by itself would be suitable, but it
should be fixed to a base to prevent breakage. The
inking surface should be elevated to a sufficient height
to allow the subject's forearm to assume a horizontal
position when the fingers are being inked. For exam-
ple, the inking plate may be placed on the edge of a
counter or a table of counter height. In such a posi-
tion, the operator has greater assurance of avoiding
accidental strain or pressure on the fingers and should
be able to procure more uniform impressions. The ink-
ing plate should also be placed so that the subject's
fingers which are not being printed can be made to
"swing" off the table to prevent their interfering with
the inking process. This equipment should be supple-
mented by a cleansing fluid and necessary cloths so
21C-1
OPNAV INST 5510.1G
10 APR 1984
that the subject's fingers may be cleaned before rolling
and the inking plate cleaned after using. Denatured
alcohol and commercially available cleaning fluids are
suitable for this purpose.
TAKING FINGERPRINTS PROPERLY
There are two types of impressions involved in the
process of taking fingerprints. The upper 10 prints are
taken individually?thumb, index, middle, ring, and lit-
tle fingers of each hand in the order named. These are
called "rolled" impressions, the fingers being rolled
from side to side in order to obtain all available ridge
detail. The smaller impressions at the bottom of the
card are taken by simultaneously printing all of the
fingers of each hand and then the thumb without roll-
ing. These are called "plain" or "simultaneous" impres-
sions and are used as a check upon the sequence and
accuracy of the rolled impressions. Rolled impres-
sions must be taken carefully in order to ensure that
an accurate fingerprint classification can be obtained
by examination of the various patterns. Each focal
point (cores and all deltas) must be clearly printed to
obtain accurate ridge counts and tracings.
In preparing to take a set of fingerprints, place a
small daub of ink on the inking glass or slab and roll it
thoroughly until a very thin, even film covers the en-
tire surface. The subject should stand in front of and
at a forearm's length from the inking plate. In taking
the rolled impressions, place the side of the bulb of the
finger upon the inking plate, and roll the finger to the
other side until it faces the opposite direction. Be
sure the bulb of each finger is inked evenly from the
tip to below the first joint. By pressing the finger
lightly on the card and rolling in exactly the same
manner, a clear rolled impression of the finger surface
may be obtained. It is better to ink and print each
finger separately, beginning with the right thumb and
then, in order, the index, middle, ring, and little
fingers. (Stamp pad ink, printing ink, ordinary writing
ink, or other colored inks are not suitable for use in
fingerprint work as they are too light or thin and do
not dry quickly.)
If consideration is given the anatomical or bony
structure of the forearm when taking rolled impress-
ions, more uniform impressions will be obtained. The
two principal bones of the forearm are known as the
radius and ulna, the former being on the thumb side
and the latter on the little finger side of the arm. As
suggested by its name, the radius bone revolves freely
about the ulna as a spoke of a wheel about the hub. In
order to take advantage of the natural movement in
making finger impressions, the hand should be rotated
from the more difficult to the easy position. This
requires that the thumbs be rolled toward and the fin-
gers away from the center of the subject's body. This
process relieves strain and leaves the fingers
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OPNAV INST 5510.1G
20 APR 1984
relaxed upon the completion of rolling so that they
may be lifted easily from the card without danger of
slipping which smudges and blurs the prints.
The degree of pressure to be exerted in inking and
taking rolled impressions is important, and this may
best be determined through experience and observa-
tion. It is quite important, however, that the subject
be cautioned to relax and refrain from trying to help
the operator by exerting pressure as this prevents the
technician from gauging the amount of pressure need-
ed. It will help relax the subject's hands if he or she is
told to look at some distant object and not to look at
the hands. The person taking the fingerprints should
stand to the left of the subject when printing the right
hand, and to the right of the subject when printing the
left hand. In any case, the positions of both the sub-
ject and the technician should be natural and relaxed if
the best fingerprints are to be obtained.
To obtain "plain" impressions, press all of the fing-
ers of the right hand lightly upon the inking plate, then
press simultaneously upon the lower right hand corner
of the card in the space provided. The left hand should
be similarly printed, and the thumbs of both hands
should be inked and printed, without rolling, in the
space provided.
CAUSES OF UNSATISFACTORY PRINTS
Indistinct or illegible prints are usually caused by
one or more of the following factors:
1. Failure to reproduce the focal points (del-
tas or cores) because the finger has not been fully
rolled from one side to the other, and the bulb of the
finger from joint to tip has not been completely inked.
2. Allowing the fingers to slip or twist, result-
ing in smears, blurs, and false-appearing patterns. The
fingers should be held securely, but with the technician
not applying too much pressure. The subject should be
instructed not to try to help and to remain passive
throughout the fingerprinting procedure.
3. The use of writing or similar ink resulting
in impressions that are too light and faint or in which
the ink has run, obliterating the ridge detail. The best
results will be obtained by using heavy black printer's
ink, which should not be thinned before using. This ink
will dry quickly and will not blur or smear with hand-
ling.
4. Failure to clean thoroughly the fingers or
inking apparatus of foreign substances and perspira-
tion, causing the appearance of false markings and the
disappearance of ridge characteristics. Alcohol or a
nonflammable cleaning agent may be used. In warm
weather, each finger should be wiped dry of perspi-
ration before inking and printing the fingers.
5. The use of too much ink, obliterating or
obscuring the ridges. If printer's ink is used, a small
amount of ink applied to the inking plate will suffice
for several sets of prints. It should be spread to a thin,
even film by rolling the ink over the plate by means of
the roller.
21C-2
6. Insufficient ink resulting in ridges too light
and faint to be counted or traced.
UNUSUAL FINGERPRINTING SITUATIONS
In taking inked fingerprints, the technician fre-
quently encounters permanent or temporary physiolo-
gical characteristics which call for? different finger-
printing techniques. These situations include crippled
fingers (bent, broken), deformities (webbed or extra
fingers), lack of fingers at birth, amputations, and
advanced age of the subject.
If the subject has crippled or deformed fingers, it
is not sufficient to merely indicate on the fingerprint
card the condition of the fingers such as "bent," "brok-
en," or "crippled." Only in those cases where the fin-
gers are so badly bent or crippled that they are touch-
ing the palms and cannot be moved is such a notation
appropriate. Fortunately, such cases are extremely
rare, and through the use of special inking devices si-
milar to those used for fingerprinting the deceased, it
is possible to obtain clear, legible fingerprints from
bent or crippled fingers. The equipment for this fin-
gerprint technique consists of a spatula, small rubber
roller, and a curved holder for individual finger block
cardstock. Each crippled or bent finger is handled in-
dividually, and after the finger has been inked and
printed, the individual finger blocks should be pasted
on a fingerprint card in their proper sequence. Worn
and indistinct friction ridges or those bearing nume-
rous creases can be readily reproduced in this same
manner. Webbed and split fingers should be printed in
the same manner. An appropriate notation should be
made on the fingerprint card concerning any of these
deformities. An extra digit, usually an extra thumb or
extra little finger, sometimes appears on the extreme
outside of either hand. In some instances, it may be
necessary to use the process for printing crippled fin-
gers in order to obtain satisfactory impressions. A
notation concerning this abnormality is to be made on
the fingerprint card.
The problems encountered in fingerprinting per-
sons of an advanced age are mentioned at this point
for discussion purposes only. Crippled fingers due to
advanced age can be handled in the same manner as
bent and crippled fingers. Because of advanced age,
the fingerprint ridges are sometimes very faint. To
get legible inked prints, use a very small amount of ink
on the inking plate and very little pressure in rolling
the fingers. Practice with this technique will produce
satisfactory fingerprint impressions.
To obtain an accurate classification, missing fin-
gers must be clearly explained on the fingerprint
card. Some individuals are born without certain fin-
gers, and in those instances, the notation "missing at
birth", should be used rather than just the word "miss-
ing." A proper notation concerning this situation will
prevent the fingerprint card from having to be return-
ed. If an individual's fingers have been amputated, a
proper notation to this effect should appear in each
applicable individual fingerprint block. If just a por-
tion of the first joint of a finger is amputated, ink and
print the remaining portion of the first joint and place
a notation such as "tip amputated" on the fingerprint
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11,
card. If all 10 fingers are amputated, consideration
should be given to obtaining footprints.
Temporary disabilities, such as fresh cuts, wounds,
and bandaged fingers, are beyond the control of the
fingerprint technician. However, a complete classifi-
cation formula is necessary in order that a fingerprint
card be retained in FBI files. An indication on the
fingerprint card to the effect that a finger is "freshly
cut, bandaged" will cause the fingerprint card to be
returned to the contributor since accurate classifica-
tion is impossible. In the event of temporary injury,
the fingerprints should be taken, if possible, after the
injury has healed. This same situation prevails with
large blisters which temporarily disfigure ridge detail.
Problems resulting from the occupation of the
individual (such as carpenters, bricklayers, cement
workers) are a definite challenge to the fingerprint
technician. When it is obvious that the occupation of
the individual being fingerprinted has affected or worn
21C-3
OPNAV I NST 5510.1G
20 APR 1984
the ridges on the tips of the fingers to the point where
it is difficult to obtain legible fingerprints, consid-
eration should be given to the use of softening agents
(oils and creams) or fingerprinting at a later date when
the ridges have had an opportunity to reform. It is
possible in many instances to obtain legible finger-
prints when the ridges are worn by using a very small
amount of ink on the inking plate as described above in
taking fingerprint impressions of persons of advanced
age.
Excessive perspiration will result in the failure of
ink to adhere properly to the tips of the fingers. When
this situation is encountered, the subject's fingers
should be individually wiped clean and immediately
inked and printed. This process should be followed
with each finger. It is also helpful to wipe the fingers
with alcohol or some other drying agent which will
temporarily reduce the amount of perspiration and
thus permit the technician to obtain clear, legible
fingerprint impressions.
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OPNAV I NST 5510.1G
20 APR 1984
1. LOOP
CENTER
OF LOOP
LHE LINES BETWEEN CENTER (3T1
LOOP AND DELTA MUST SHOW
2. WHORL
DELTWq
THESE LINES RUNNING BETWEEN
DELTAS MUST BE CLEAR
3. ARCH
ARCHES HAVE NO DELTAS
SUMMARY OF THE GUIDELINES FOR OBTAINING CLASSIFIABLE FINGERPRINTS
1. Loop Pattern. The lines between center of loop and delta must show.
2. Whorl Pattern. The lines running between deltas must be clear.
3. Arch Pattern. Arches have no deltas. This pattern can be classified as such only if a sufficiently clear impression
is obtained to show the pattern as belonging to the arch category.
4. Use black printer's ink. Distribute ink evenly on inking slab. Wash and dry fingers thoroughly. The bulb of each
finger should be inked evenly from the tip to below the first joint.
5. Roll fingers from nail to nail, and avoid allowing fingers to slip. In rolling prints, the hand should be rotated from
the more difficult to the easy position, i.e., the thumbs are rolled toward and the fingers away from the subject's
body.
6. Ensure that impressions are recorded in correct order. If an amputation or deformity makes it impossible to print
a finger, make a notation to that effect in the individual finger block. If some physical condition makes it impossible
to obtain perfect impressions, submit the best that can be obtained with a memo stapled to the card explaining the
circumstances.
7. Examine completed prints to see if they can be classified. If, upon examination, it appears that any of the impres-
sions cannot be classified, new prints should be made. Don't submit prints if it is apparent they can't be classified.
8. On the prints on the sample FD 258, fingers have been rolled from nail to nail. In rolling from nail to nail, each
focal point (cores and all deltas) and the lines running between them show for each finger. One of the most common
errors made is simply one of not rolling fingers from nail to nail which results in both deltas not being picked up on
whorl patterns and the loop and the delta not being picked up on loop patterns.
9. The FBI continues to recommend the use of black printer's ink, but will now accept fingerprint impressions taken
by inkless chemical processes provided they are recorded with a medium which provides uniform black impressions,
clear in contrast, and the endurance of the medium is attested to as being permanent. This certificate should come
from the supplier of the process, usually on the label.
21C-4
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111, IIF
OPNAVINST 5510.10
20 APR 1984
EXHIBIT 21E
INSTRUCTIONS FOR COMPLETING SF-85
(DATA FOR NONSENSITIVE OR NONCRITICAL-SENSITIVE POSITION)
(FOR CIVILIAN EMPLOYMENT)
SUBMISSION REQUIREMENTS: This form must be
submitted for each person entering a nonsensitive or
noncritical-sensitive position. See Federal Personnel
Manual Chapter 736 and FPM Supplement 296-33, for
details on requirements and exceptions. This form is
to be prepared in triplicate by the employing com-
mand. Type all answers. Complete all items except
19 and 22. If the answer to an item is "No" or "None",
so state.
The appointee should furnish the information for items
1B thru 7 and 10 thru 14, and should sign the original
and first carbon copy of the certification below item
14. The command should supply the remaining data
from the application, or Standard Form 50, or other
records. If more space is needed for any item, use
item 21.
ALL REFERENCES: All SF-85s, for both nonsensitive
and noncritical-sensitive positions, will have the nota-
tion "ALL REFERENCES" recorded immediately above
the title at the top of the form in order to obtain the
expanded FBI name check coverage which OSD has ar-
ranged with the FBI to conduct on all DOD cases.
Item 1A: Give full name. Initials and abridgments of
full name are not acceptable. If no middle name, show
"(N MN)"; if initials only, show "(initial only)".
Item 1B: Insert OTHER NAMES USED, such as maiden
name, names by former marriages, former names
changed legally or otherwise, aliases, nicknames, etc.
Insert "NEE" before maiden name. For any other name
used, insert only the name in item 1B and identify it in
item 21; also give in item 21 the dates the name was
used. (For example, "Jane Mary Doe, name by former
marriage, June 1946 to July 1950".)
Item 2: Give Armed Services serial number. For
branch of service show "Army", "AF", "Navy",
"Marine" as appropriate. Give month and year the ser-
vice began and ended, using numbers. (For example,
show service from May 1943 to June 1944 as "5/43 to
6/44".)
Item 3: Social Security Number must be filled in even
if it is the same as serial number in item 2.
Item 4: Date and place of birth.
Item 5: Give title of position for which the form is
being completed.
Item 6: Give name of activity, installation or office,
and city and state where it is located. Do not use ab-
breviations or acronyms.
Item 7: Give dates and places of residence. Begin
with present and go back to January 1 1937, or appli-
21E -1
cant's 16th birthday, whichever is later. Use only one
line for each address, using standard abbreviations if
necessary. Dates may be given as numerals. Do not
extend dates beyond the broken line dividing item 7.
Continue addresses under item 21 on other side if ne-
cessary. The last 5 years must have COMPLETE ad-
dresses AND zip codes, or the SF-85 will be returned
incomplete to the security office of the requesting
command.
Item 8: Fill in the date of the request.
Item 9: Check block indicating appropriate sensitivity
of the position for which the form is being completed.
Item 10: Check the current appropriate answer.
Item 11: Enter name of spouse, date and place of mar-
riage, date and place of spouse's birth. If divorced,
enter above information for each ex-spouse and date
and place of divorce. Any former names of spouses
should be included (i.e. maiden name or former names
or aliases of spouse). The same applies for widowers
or widows.
Item 12: List identifying numbers, such as passport
number, alien registration number, naturalization num-
ber or other numbers. Do not list social security num-
ber (item 3) or service serial number (item 2).
Item 13: List organizations such as National Honor So-
ciety, Toastmasters, civic and community organiza-
tions, etc. Do not list political or religious organi-
zations.
Item 14: Beginning with present employer (if today is
first day at this command, start with most recent past
employment or unemployment), list date started and
the date ended employment with each employer and
the name of the agency or company and the complete
address for all employers. (The last 5 years MUST
have complete addresses AND zip codes.) List all pe-
riods of unemployment in this manner also. Do not
skip any time spans or SF-85 will be returned marked
"incomplete" or requesting further information. Item
21 should be used if more space is necessary.
Item 15: Insert date of appointment or indicate
"applicant".
Item 16: Insert place of duty if it differs from com-
mand address listed in item 6.
Item 17: Check block indicating appropriate type of
appointment.
Item 18: Insert OPM regulation number, certificate
number, or other appointment authority.
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OPNAV INST 5510.1G
20 APR 1984
Item 19: Leave blank.
Item 20: Give name of command and full address,
including zip code. Do not use abbreviations or acro-
nyms. Provide autovon and commercial telephone
numbers of individual or office submitting forms who
can be contacted for additional information or clarifi-
21E-2
cation of data on the form. For all ,noncritical-sensi-
tive cases insert the following:
"SEND ALL DEROGATORY INFORMATION TO
DIRECTOR, NAVAL CIVILIAN PERSONNEL
COMMAND, (CODE 06), 800 NO. QUINCY STREET,
ARLINGTON, VA 22203."
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OPNAVINST 5510.1G
O APR 1984
21. SPACE POO CONVOKING AMON TO CONTO NIUTIONS (NOW GIN TO MOGI somV/15 APPN. 11111111111NE CANON POD WON OfIMING ow ON SOIL
If INN MCI* NOM UN A SIKKIM PM Of PANG MR NOG ON INPI OW NO ATTACK TO INS POLK
33. 'POST Of INPOINNION DIMOND NOS VAC! MGM Kat NI GNI DAIL
? ?
INSTRUCTIONS
Mohr any grpssmitn peaces dad, dirtier Mate.
GENERAL INSTRUCTIONS: This form must be admitted for eath person entering a noosensitive or noncritical-sensitive position.
See Federal Personnel Manual Chapter 736 and FPM Supplement 296-31,Appendix A, for details on requirements and exceptions.
This form is to be prepared in triplicate by the employing agency. Type all answers. Complete all hems excmt 19 and 22. If the
answer to an item is "No" or "Nene," es mete.
The appointee should furnish the Information for items IB thru 7 and 10 dvu 14, and should sign the original apd firm carbon
copy of the certification below hem 14. The agency should supply the remaining data from the application, or Standard Fenn 30,
or other records. If more space is needed for any hem use hem 21.
ITEMS I THRU 9: These items, within the heavy lines, will be photocopied directly boat the form to a snarler for on it printing
investigative records and forms. Type the items with special care, making any corrections neatly. Do not emend any answer
beyond the edge of the box provided for it. Except kr the Wowing, the hems are seirexplanalory:
Item IA?Give full name. Initials and abridgment, of full name are not &empathic. If on middle name, show "(NAIN)"; if nisi&
only, show "(initial only)".
lam ID?Insert OTHER NAMES USED, such as maiden same, =met by former marriages, former Mani elginged legally or
otherwise, aliases, nicknames, etc. been "NEE" before maiden name. For any ether name used, insert only the name
in hem 111 and identify it in item 21; also give in item V the dates the name was used. (For example, "Jane Mary
Doe, mine by former aserriege, June 1946 to July I950".)
beet 2 ? Give Armed Services serial number. For branch of service show "Army," "AF," "Navy," "Marine" as appropriate.
Give month and year the OMR* began and ended, usieg numbers. (Fee example, thew 'mice from May 1943 se June
11144 as "5/43 to 6/44.")
loan 5 ? Give title of position kr which the form is being completed.
hem 6 ? Give mune of department or agency, installation or office, and dty and State where it is located.
hem 7 ? Give dotes and places of residence. Begin with present and go back to January I, 1937, or applicant's 16th birthday,
whichever is later. Use only one line for each address, using standard abbreviation:If aecessary. Dates may be given
an menorah. Do not emend dates beyond the broken line dividing item 7. Continue addresses trader hem 21 on the
other ride if stecessary. Give ZIP codes only kr addresses doing the post an years. The =me applies kr employers
under hem 14.
SUBMISSION REQUIREMENTS: For nonsensirive meek the figlowhig forms and tapers mum be subenined whin Sots /op ober
oppoiatmoot. to the office of the Civil Service Commission which serves your office. For noncriticalmmaitive cases, these foems
generally must be submitted and the results if the national agency chocks received pub assignment to noorriticalmositive duds:
A. The signed ORIGINAL and one assigned carbon copy of this form (Standard Farm 15).
B. Standard Form 17 (Fingerprint Chart).
C. Original application from width appointment was made. Include imestigadve informatioo about the person received
on voucher forms or otherwise. MAIN TOE WNW CANON COPY OF STANDARD FORM SS FOR YOUR FRES.
21E-4
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OPNAVINST 5510.1G
20 APR 1984
EXHIBIT 21F
INSTRUCTIONS FOR COMPLETION OF SF 87
(CSC FINGERPRINT CHART)
SUBMISSION REQUIREMENTS: This form must be submitted for each person entering a nonsensitive or noncritical-
sensitive position. See Federal Personnel Manual Chapter 736 and FPM Supplement 296-33 for details on
requirements and exceptions. Only ONE set of fingerprints is required. All blanks on the chart are to be completed
unless stated otherwise. Use a typewriter for everything except the signatures, which should be written in ink.
Complete the blanks on the fingerprint chart as listed below:
1 - Name - Insert last, given and middle name. If no middle name, show "(NiVIN)"; if initials only, show "(I0)". Also
enter any former names (i.e. maiden name, nicknames, aliases, and former names).
2 - Signature of person being fingerprinted.
3 - Residence - Give number, name of street, city, state, and zip code of person being fingerprinted.
4 - Position to which appointed - Give title of the position for which appointee is being fingerprinted.
5 - Signature of official taking fingerprints.
6 - Title and address - Enter the title of the person taking the fingerprints and the name and location of the activity
or company where the fingerprints are being taken.
7 - Department, Bureau, and Duty Station - Give complete mailing address, including city, state and zip code for the
position for which the person is being fingerprinted.
8 - Height - Enter the height in inches (i.e. 65).
9 - Date of Birth - Enter month, day, and year (i.e. 4-12-43).
10 - Place of Birth - Enter city and state.
11 - Color of eyes and hair, weight, and sex are self explanatory. However, if bald so state.
(See exhibit 21C for guidance on obtaining classifiable fingerprints.)
21F-1
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IIP OPNAV INST 5 5 1 0 . 1G
20 APR 1984
EXHIBIT 21G
INSTRUCTIONS FOR COMPLETING DD FORM 1879
(REQUEST FOR PERSONNEL SECURITY INVESTIGATION)
This form is submitted for each person on whom a
Background Investigation, Special Background Investi-
gation, Periodic Reinvestigation or Special Investiga-
tive Inquiry is being requested. It is not used when the
investigation being requested is an NAC or ENTNAC
alone. The form is prepared by the command and sub-
mitted with the attachments required for the type of
investigation being requested. Only those investiga-
tions justified by current policies may be requested,
and the justification for the investigation must be
obvious from the entries on the form.
The same DD Form 1879 will not be reused to re-
quest additional investigation after DIS has indicated
that the investigative action has been completed. If
an investigation package has been returned for correc-
tion of the forms, the same DD Form 1879 may be re-
used but the date of the request must be changed to
show the resubmission date.
DETAILED INSTRUCTIONS
Item 1. Enter the title and address (including zip code)
of the command requesting the investigation.
Item 2. Enter the Unit Identification Code (UIC) or
Personnel Accounting System (PAS) code of the
command requesting the investigation.
Item 3. To be used by the requester for internal filing
- usually the Standard Subject Identification Code
(SSIC) 5521.
Item 4. Enter the date the request is submitted.
Item 5. Check one block. The five types of investiga-
tion listed are the only ones authorized by general po-
licy. Until the form is revised, check Limited Inquiry
if the investigation needed is an SIL In each instance,
the reason for the SII must be explained in item 20.
The BI or SBI Bring-up is now called a Periodic Rein-
vestigation (PR). Check BI/SBI Bring-up only when a
PR is authorized as described in paragraph 21-13.
Also, print or stamp "PR" in large letters in item 20.
If the subject has a previous BI or SBI but needs a cur-
rent investigation to meet a specific program require-
ment, request a BI or SBI, not a Bring-up (PR). Any
other type of investigation has to be specifically ap-
proved by the Chief of Naval Operations (0p-009P) and
the Deputy Under Secretary of Defense for Policy.
When the request is based on the approved exception,
the "Other" block will be checked and the authority
will be cited in item 20.
Current policies allow SBPs only for those assigned
to Category I Presidential Support duties, those with
access to sensitive compartmented information (SCI),
those requiring access to SIOP-ESI and those assigned
to investigative agencies. Requests for SBI's for those
assigned to investigative agencies will be annotated in
2 1G-1
item 20, "SBI required IA W DOD 5200.2-R para 3-
609". Periodic updating of SBPs is currently allowed
for those in Presidential Support duties, those with
SIOP-ESI access, and those with continuous access to
SCI. For an SBI-PR for Presidential Support, the nota-
tion "SBI-PR required IA W DOD Directive 5210.55" is
placed in item 20. Those who have continuous access
to SCI have SBI-PR's every five years and the notation,
"SBI-PR required LAW DCII) 1/14 paragraph 13" is
placed in item 20. If an individual who has had an SBI
is out of the SCI program for more than 12 months and
the last SBI or SBI-PR was completed more than 5
years ago, an updated investigation is required before
reentering the program. In that case, the investiga-
tion is not a PR and the request will be for an SBI. BI-
PR's are only authorized for those with access to Top
Secret and for civilians in critical-sensitive positions.
Item 6. The block checked in this item is the basis for
the justification for the investigation. There is a cor-
relation between items 5 and 6. The type of investiga-
tion in item 5 is justified by the reason in item 6 plus
any required notations in item 20. When you have
made the correct entries in these items, the justifica-
tion for submitting the request is established on the
face of the request. Don't expect DIS to search
through the other forms to find out why you are re-
questing the investigation.
Policies precisely delineate the type of investiga-
tion required so the reason for the investigation has to
be directly supported by a specific policy statement or
an approved exception. For example, you cannot
check BI (in item 5) and show access to Secret as the
reason (in item 6) unless a supporting authorized rea-
son, (PRP, immigrant alien, etc.) is checked in subse-
quent blocks or explained in item 20. If there is more
than one reason for an investigation, all other blocks
that apply are to be checked. Investigative require-
ments are described in this regulation and referenced
directives.
If the reason for the investigation is to grant ac-
cess to classified information, the first block in this
item must be checked, and the highest level of access
indicated by lining out the others. Remember, for ac-
cess less than Top Secret, there has to be an author-
ized reason for requesting a BL If there are addition-
al reasons for requesting an investigation for access to
Top Secret information, then the appropriate addition-
al blocks in this item must be checked. For example,
if subject is to be given access to sensitive compart-
mented information, and SIOP-ESI, the first block of
this item will be checked, with the words Confidential
and Secret lined out, and each appropriate block will
also be checked.
The first six reasons listed in Item 6 are not com-
prehensive. For example, other reasons for which
investigations are authorized are a civilian critical-
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OPNAVINST 5510.1G
20 APR 1984
sensitive position, or assignment to an investigative
agency even though a subject in a given category
might not require access to Top Secret information.
The reasons must be identified by checking the block
"Other" and typing the reason that applies under the
block. Provide explanatory comments in Item 20 justi-
fying the reason for the investigation. Type "critical-
sensitive position" in Item 20 for all those positions
designated critical-sensitive which do not require ac-
cess to Top Secret information.
Provide the unclassified project or program title,
or other special authorization in Item 20 for all SBI
requests which are not based on sensitive compart-
mented information, Presidential Support requirements
or SIOP-ESI.
Item 7. Usually, the results of an investigation are
returned to the requester. The full command address,
including zip code, is placed in the Return Results To
block. There are several exceptions to this rule.
a. Background Investigation results on civilian ap-
plicants or employees are returned to Director, Naval
Civilian Personnel Command (Code 06) 800 N. Quincy
Street, Arlington, VA 22203 (except for initial BI's for
Category II Presidential Support).
b. If the subject will be transferred before the
investigation could be completed, the receiving com-
mand will be shown to receive the results.
c. SBI's for access to SCI are all (military and
civilian) returned to COMNAVINTCON1 or COIVINAV-
SECGRU. For SIOP-ESI alone, results are returned to
the requester for military and to NCPC for civilians.
d. On SBI requests for military personnel being
transferred to NAVINVSERV, results are returned to
Naval Investigative Service Headquarters, Washington,
D.C. 20388 marked NIS PERSONNEL -
TO BE OPENED BY SECURITY MANAGER ONLY.
(Civilian requests are returned to NCPC.)
e. A request on a commanding officer is to be
returned to the next senior in the chain of command.
f. The block is left blank on forms submitted to
CNO (0p-009P) for Limited Access Authorizations.
Item 8. The subject's name will be entered in the
following order: Last name, first name, middle name,
with the last name only in capital letters.
Item 9. Each name entered will be identified as to
type, e.g.:
Nee - BLACK, Virginia Jean
Also Known as (AKA) -
Joseph, Mrs.
Alias - SCHWARTZ, Jinny
BLACK, Robert
Item 10. Enter date of birth in order of year, month,
and day. Do not use numerical code for month. Spell
out using standard abbreviation (e.g., Jan., Feb.,
etc.). Cite complete year (19xx). Example: 1956 Jan
14.
21G-2
Item 11. Enter social security number. Include
dashes.
Item 12. If subject is military or former military,
enter all previous service numbers.
Item 13. Enter "M" for male or "F" for female.
Item 14. For those subjects born in the United States,
list the city and state. In case of foreign birth, list the
city and the political division of the country which dif-
ferentiates cities of the same name and country; e.g.,
Oberursel/taunus, Hesse, Germany.
Item 15. Enter the service with which subject of the
investigation is affiliated (USN, USNR, USMC,
USIVICH, etc.)
Item 16. Enter grade for military personnel (0-1, E-2,
etc.); for civilian employees enter pay scale (GS-1,
WG-8, etc.); for others, enter CIV.
Item 17. The review of local files will be indicated by
checks in the applicable blocks. If unfavorable infor-
mation is developed, summarize it in item 20. If there
is evidence of past or present mental or nervous disor-
der or emotional instability, set forth full details in
item 20. If no records were reviewed, indicate the
reason they were not reviewed in item 20 and state
where the records are located. Remember, adverse
information is not put on the tickler copy of the DD
Form 1879 placed in the official personnel record.
Item 18. Verification, partial verification, or non-
verification of U.S. Government employment or cur-
rent military service will be indicated by a check in
the appropriate block. The DIS will not verify US.
Government employment or current military service
when the requester indicates that it has been verified
as listed on the personal history form. If the requestor
indicates that U.S. Government employment or current
military service has not been verified or has been only
partially verified, the DIS will accomplish full verifi-
cation.
Item 19. Enter information as to types of any previous
investigations when the information is locally availa-
ble, with the dates, case control numbers, and agencies
conducting the investigations. If unknown, so state.
Item 20. Enter information necessary to clarify en-
tries in preceding items and to list additional names
when there is insufficient space in item 9. Indicate in
this item what specific additional investigation is re-
quired when submitting a request for additional inves-
tigation. This item may be continued on plain bond
paper. Specific statements required in this space
include:
a. On requests for SRN for SCI access:
(1) "Personal interview conducted by (name
and official title)" or the reason why the interview was
not conducted.
(2) "Subject's U.S. citizenship verified".
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b. On requests for BPs for immigrant aliens, "In-
vestigation required to meet essential operating re-
quirements of the (Navy) (Marine Corps)," validated
with the personal signature and official title of the
commanding officer or other designated clearance
authority.
c. On requests for BI or SBI incident to transfer,
the anticipated transfer date and the gaining command
(and any intermediate stations.) On requests for SC!
access for Navy personnel, indicate BUPERS order
number.
d. On all Periodic Reinvestigations, "PR" printed
or stamped in large letters.
Item 21. Enter the number and identification of en-
closures.
21G-3
? OPNAVINST 5510.1G
2 o APR 1984
Item 22. The official signing the request for investi-
gation must be the commanding officer or other desig-
nated clearance authority. The signer is responsible
for ensuring that the request is in consonance with
security policies in this regulation, that all forms are
completed in accordance with the instructions in this
regulation and that the prescribed number and type of
forms are included. Under no circumstances will an
individual request his or her own investigation. A
request for investigation of the commanding officer
must be submitted by the next senior in the chain of
command.
Remember, unless there is a policy requiring a
specific type of investigation for a specific reason, or
an approved exception, the investigation isn't justified.
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S TATr
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?
OPNAVINST 5510.1G
2 0 APR 1984
EXHIBIT 2111
INSTRUCTIONS FOR COMPLETING DD FORM 398
(PERSONNEL SECURITY QUESTIONNAIRE (BUSBI))
(SEE COVER SHEET ON FORM FOR PRIVACY ACT STATEMENT AND GENERAL INSTRUCTIONS)
SPECIAL INSTRUCTIONS FOR PERIODIC REINVES-
TIGATION (BI OR SBI). If you have previously been
the subject of a background investigation (BI) or spe-
cial background investigation (SBI) and this form is
being completed as part of a periodic reinvestigation,
you may, if you have a copy of the previously submit-
ted DD Form 398 that can be forwarded along with
this form, complete the form as follows:
1. Complete items 1.a. and 3.
2. For all other items, enter only changes or addi-
tions that have occurred since the date of completion
of the DD Form 398 used for conducting the prior in-
vestigation.
3. Enter "N/C" (No Change) in each item where no
new entry is required.
4. In item 18, "Remarks," enter the following
certificate: I HEREBY CERTIFY THAT THE ABOVE
ENTRIES ARE COMPLETE AND CORRECT TO THE
BEST OF MY KNOWLEDGE AND INDICATE ANY
AND ALL CHANGES THAT HAVE OCCURRED SINCE
(DATE OF PREVIOUS 398 SUBMITTED WITH RE-
QUEST FOR INVESTIGATION).
If you do not have a copy of the previously completed
DD Form 398, then a current form must be completed
in accordance with the following Detailed Instructions.
DETAILED INSTRUCTIONS
Item 1: (NAME)*
a. List your name in the following order:
Last name, first name, and middle name.
Names should agree with military or civilian employ-
ment records; if not, explain in item 18, "Remarks."
(1) If no middle name, enter "N MN."
(2) If name consists of initial(s) only, enter
the appropriate initial(s) followed by "(10)."
(3) Include additional designations such as Jr.,
Sr., II, (2nd), III, (3rd), when applicable.
b. List maiden name (if applicable).
Item 2: (ALIASES) List any other name by which you
are or have been known. Include former names, chan-
ges in name, nicknames, or variant spellings used. If
the name has changed, explain why, when, and where
such change took place in item 18, "Remarks." Also
include the inclusive dates any other name was used.
Item 3: (SOCIAL SECURITY NUMBER)*
Self-explanatory.
2111-1
Item 4: (DATE OF BIRTH)* Give the year, month,
and day of your birth using the last two digits of the
year, a two digit number for the month and a two digit
number for the day, e.g., 1 August 1944 would be en-
tered as 44-08-01.
Item 5: (PLACE OF BIRTH)* List your place of birth
in the following order:
a. City. (Do not abbreviate.)
b. County. (Do not abbreviate.)
c. State. (Use two-letter abbreviation for the
state.)
d. Country (if other than U.S.). (Do not abbrevi-
ate.)
Item 6: (CIVILIAN OR MILITARY STATUS)*
Check either:
a. Civilian, or
b. Military.
c. Grade.* If civilian and employed by the Fed-
eral Government, enter appropriate grade. If civilian
and not employed by the Federal Government, enter
"N/A". If military, enter appropriate pay grade.
d. Branch of Service.* If military, place an "X"
by the appropriate branch of service.
Item 7: (IDENTIFYING DATA)
a. Sex.* Enter "Male" or "Female."
b. Race.
Red (American Indian)
Yellow (Asian/Mongoloid)
Black (Negroid or African)
White (Caucasoid)
Other
Unknown
c. Height. Enter height in feet and inches.
d. Weight. Enter weight in pounds.
e. Color of Hair. Complete as appropriate.
f. Color of Eyes. Complete as appropriate.
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UWMHVIMOT
20 APR 1984
Item 8: (CITIZENSHIP STATUS)
Check either:
a. US. citizen, or
b. Alien.
If US. citizen:
c. Native. Check either "yes" or "no." ("Native"
includes those who are US. citizens by birth, even if
born outside the US.)
d. Naturalization Certificate Number
If naturalized, provide naturalization certifi-
cate number.
e. Derived Citizenship. If citizenship is derived,
list the number of your Certificate of Citizenship or
the Certificate of Naturalization number(s) of pa-
rent(s), from whom citizenship is derived.
f. Date. List date Certificate of Naturalization
or Certificate of Citizenship was issued.
g. Place. List city and state where Certificate of
Naturalization was issued or Certificate of Citizenship
was obtained. (The place of issuance will not appear
on the Certificate of Citizenship.)
h. Court. List the name of the court where the
Certificate of Naturalization was issued. (Not re-
quired for Certificate of Citizenship.)
If alien:
i. Registration Number. List alien registration
number. (See item m.)
j. Current Citizenship. List the country of which
you are currently a citizen.
k. Date of Entry. List date you entered the
United States.
1. Port of Entry. List the city and state where
you entered the United States.
m. Form 1-151 or 1-551 Number. List alien regis-
tration number.
Item 9: (FORMER MILITARY SERVICE)
Indicate each period of enlistment or extended ac-
tive duty from which a discharge certificate of service
was received even though you may have been ordered
back to active duty the next day. If service was with
foreign armed forces, identify the foreign country in
item 18, "Remarks." Officers who have had prior en-
listed or warrant service or who have been integrated
into regular status will include the applicable informa-
tion in this item. Reserve or National Guard service
will be shown in this item.
a. From.* Enter date service began.
b. To.* Enter date service ended. (If currently on
active duty, enter "present" for the latest entry and
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appropriate ending dates for all other periods of serv-
ice.)
c. Branch.* List the branch of service.
d. Rank.* List the rank as of the date of
discharge from each period of service.
e. Service Number(s).* If you entered the U.S.
Armed Forces after January 1970, the service number
is the same as the Social Security Number. If you en-
tered the U.S. Armed Forces before January 1970 but
did not receive your discharge until after January
1970, enter both your Social Security Number and your
original service number.
f. Type of Discharge: Self-explanatory.
Item 10: (FAMILY/ASSOCIATES). List father, mo-
ther, spouse, (or cohabitant) and children. Also list
guardians, stepparents, foster parents, brothers and
sisters, stepbrothers and stepsisters, and other rela-
tives or friends to whom you are bound by affection or
obligation, if such persons are residing in or are citi-
zens of any foreign country.
a. Relationship and Name*. Enter the individual's
relationship to you on the top line, if not already pro-
vided on the form. On the second line, enter the indi-
vidual's name. Include maiden name of mother and
spouse (if applicable).
b. Date of Birth.* Provide date of birth for all
persons listed in terms of year, month, and day using
the last two digits of the year, a two digit number for
the month and a two digit number for the day, e.g., 1
August 1944 would be entered as 44-08-01.
c. Place of Birth.* List city and state or country
(if other than the U.S.).
d. Address.* Provide the current address of each
person listed. (If person listed is deceased, enter
"Deceased.")
e. Citizenship.* Enter citizenship of each person
listed.
Item 11: (RESIDENCES)
For BI. List all places of residence during the last
5 years in chronological order beginning with the cur-
rent address.
For SBI. List all places of residence during the
last 15 years in chronological order beginning with the
current address. If any period of residence was over-
seas, provide in item 18, "Remarks," the names and ad-
dresses of two individuals (preferably currently living
in the U.S.) who can verify the period of overseas resi-
dence through personal knowledge.
For BI or SBI. If you are under 21, list residences
for the past 3 years or since your 16th birthday, which-
ever is the shorter period.
a. Dates.* Give the inclusive date for each period
of residence.
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b. Number and Street.* Do not list a permanent
mailing address or family residence in this item unless
you actually resided at such address during the period
listed. Furnish residence address in local community
or on base/installation while in military service. If the
residence was on a military installation, include the
complete on-base address, to include barracks or house
number. List the actual place of residence while at-
tending school. Do not list merely the name of the
school or "On Campus" as a place of residence. If you
give a metropolitan address, list the borough or suburb.
c. City.* (Do not abbreviate.)
d. State.* (Use two-letter abbreviations for the
State.)
e. Country.* (Do not abbreviate.)
f. Zip Code.* Self-explanatory.
Item 12: (DUTY OR EMPLOYMENT ORGANI-
ZATION)
For BI. List in chronological order, beginning with
the present, each period of employment (to include
part-time employment and unemployment) during the
last 5 years.
For SBI. List in chronological order beginning with
the present, each period of employment (to include
part-time employment and unemployment) during the
last 15 years. If any period of employment was over-
seas, list in item 18, "Remarks," the names and addres-
ses of two individuals (preferably currently living in
the U.S.) who can verify the period of overseas em-
ployment through personal knowledge. Individuals list-
ed in item 11 to verify residences may also be used to
verify employment.
For BI or SBI. If unemployed and not attending
school full time during any period, list the name and
current address of an individual who can verify your
activities during the unemployment period in item 18,
"Remarks."
a. Dates.* Provide the inclusive dates for each
period of employment, part-time employment, and un-
employment.
b. Name* of Employer. Military personnel should
identify each unit, organization, or station to which
assigned during the required reporting period (last 5
years for BI and last 15 years for SBI). If self-
employed during any period, list the name and address
of the business. If any period of employment was for a
temporary help supplier, list only the temporary help
supplier as the employer, even though work may have
been performed at different locations with client com-
panies using the temporary help supplier's service. If
employed through a union hiring hall, list firms by
which employed. Do not list the union as an employer
unless the salary was, in fact, paid by the union.
c. Address.* Provide the address for each em-
ployment listed. If any period of employment was in a
large metropolitan area (e.g., New York, Chicago, Los
2113-3
OPNAV INST 5510.1G
20 APR 1984
Angeles), include the borough or suburb. If employed
by a large manufacturing concern (e.g., Chrysler or
General Motors Corporation in Detroit, Michigan), give
the specific name and address of the plant where
employed.
d. Name* of Immediate Supervisor. List last
name, first name, and middle name.
Item 13: (FEDERAL SERVICE-FOREIGN
TRAVEL-FOREIGN CONNECTIONS)
a. Federal Service. List in item 18, "Remarks"
the inclusive dates of service, name, and address of
last organization. If already listed in item 12, indicate
"see item 12."
b. Foreign Travel
For BI. List in item 18, "Remarks," all periods of
foreign travel in the last 5 years.
For SBI. List in item 18, "Remarks," all periods of
foreign travel in the last 15 years.
For HI and SI3l. Travel connected with the U.S.
Government should be identified as such. List inclu-
sive dates of travel for each country visited and the
purpose of the travel. If travel was in cities or coun-
tries divided into free world and communist-oriented
parts, indicate in which part the travel was performed.
c. Foreign Connections. In item 18, "Remarks,"
explain the nature and extent of foreign business con-
nections and property interests. If employed by or
acted as a consultant to a foreign entity, identify the
foreign government, firm, or agency and describe the
nature of employment or relationship.
Item 14: (MARITAL STATUS)
a. Check appropriate block.
b. Name(s) of Former Spouse(s). If divorced, list
name of any and all former spouses.
c. Date(s)* of Prior Marriage(s). Self-
explanatory.
d. Place.* List the city and state where married.
e. Date* of Divorce. Self-explanatory.
f. Court. Provide the identity of the court where
divorce was granted.
g. Location.* List the city and state where
divorce was granted.
Item 15: (EDUCATION)
For BI. List in chronological order, beginning with
the last school attended, all full-time attendance at
colleges, universities and/or service academies during
the last 5 years. High school need not be listed unless
it was the last school attended in the last 5 years.
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OPNAV INST 5510.1G
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For SBI. List in chronological order, beginning
with the last school attended, all full-time attendance
at colleges, universities, and/or service academies dur-
ing the last 15 years. High school need not be listed
unless it was the last school attended in the last 15
years. When education occurred overseas, except
under the auspices of the U.S. Government, list the
names and addresses of two individuals, preferably re-
siding in the US., who can verify the period of foreign
education through personal knowledge. The same re-
ferences listed to verify residences (item 11) or em-
ployment (item 12) may be listed to verify education.
a. Dates.* List the inclusive dates for each
period of education.
b. Name of School. Self-explanatory.
c. Address.* Provide number and street, city and
state or country. If located in a large metropolitan
area (e.g. New York, Chicago, Los Angeles), indicate
borough or suburb.
d. Major. Self-explanatory.
e. Degree. Use appropriate abbreviation, e.g.,
B.A., BS., etc.
Item 16: (CREDIT REFERENCES) List three indivi-
duals and/or firms that have extended credit to you
during the past 5 years. Do not include relatives, for-
mer employers, or persons living outside the United
States. If bona fide credit references cannot be fur-
nished, list a school where tuition was paid, or any
store, gasoline station, automobile dealer, repair shop,
life insurance company, doctor, lawyer, etc., where
cash was paid for services or goods and who has know-
ledge or records of the financial transaction.
a. Name.* Self-explanatory.
b. Account Number. If listing company, business,
credit card, etc., provide account number.
c. Number and Street.* When listing a mail order
company, list billing address.
d. City.* Self-explanatory.
e. State.* (Use two-letter abbreviation for the
state.)
f. Zip Codes.* Self-explanatory.
Item 17: (CHARACTER REFERENCES)
For BI. List 5 good friends, co-workers, col-
leagues, classmates, etc., whose total association with
you covers the last 5 years of your life or the period
since your 16th birthday, whichever is the shorter
period.
For S131. List 5 good friends, co-workers, col-
leagues, classmates, etc., whose total association with
you covers the last 15 years of your life or the period
since your 16th birthday, whichever is the shorter
period.
211I-4
For BI or SBI. Each person listed must be someone
who knows you well. Do not include relatives, former
employers, or persons residing outside the United
States.
a. Name.* List last name, first name, and middle
initial of each reference.
b. From.
c. To.
List the inclusive periods of
association with each reference by
years, e.g,. From: 77 To: 79.
Give current complete address of each reference
as follows. If available, list both the home address and
business address and telephone numbers for each. If
any reference is located in a large metropolitan area
(e.g., New York, Chicago, Los Angeles), indicate the
borough or suburb. For a rural or Star Route address,
give complete instructions for locating the address
from the nearest town or post office (e.g., Star Route,
Jackson County, 5 miles south of Grass Lake, Michi-
gan, on Highway 31, turn left on Parma Road, proceed
1-1 miles to third white house on right side of the
road).
d. Number and Street.* Self-explanatory.
e. City. (Do not abbreviate.)
f. State. Use two-letter abbreviation for the
state.)
g. Zip Code. Self-explanatory.
NOTE: Military references may be listed if their
present military grade, organization, and address are
known.
Item 18: (REMARKS) Use this space for the contin-
uation of those items where insufficient space was
provided. If necessary, attach additional sheets and
indicate "See Attached Sheet(s)" at the end of the "Re-
marks" section. When using the "Remarks" section or
attaching additional sheets, always identify the item
number being,continued and follow the format for en-
tering information prescribed on the form and in the
instructions.
Item 19: (ORGANIZATIONS)
a. List all organizations, except those referred to
in b below, in which you hold or have held membership.
(1) Name.* Provide the full name of the or-
ganization (do not use initials or abbreviations).
(2) Address.* List number and street, city,
and state or country, if other than the U.S.
(3) Type. Identify the type of organization,
e.g., social, fraternal, etc.
(4) From.
(5) To.
Provide the inclusive dates of
membership in terms of year
and month using the last two
digits of the year and a two
digit number for the month,
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e.g., October 1979 would be
entered as 79-10.
b. Check either "Yes" or "No," for each question.
If "Yes" is checked, list in item 18, "Remarks," the full
name of the organization (do not use initials or abbre-
viations) and describe the circumstances of your mem-
bership or association. If necessary, attach additional
sheets for a full detailed statement. Include dates,
places and offices, positions, or credentials now or for-
merly held. If associations have been with individuals
who are members of the described organizations, then
list the individuals and the organizations with which
they were or are affiliated.
Item 20: (MEDICAL/FINANCIAL) If "Yes" is answer-
ed to any of the questions in this item, describe the
circumstances in item 18, "Remarks." If necessary,
attach additional sheets for a full detailed statement.
a. Item 20a and b - Drug Abuse. Attached is a
listing of those drugs which have been designated as
controlled substances. If you illegally used, purchased,
possessed, or sold any of these drugs, your response
should be affirmative and should identify the particu-
lar substance used and/or trafficked.
b. Item 20c and d - Medical. Response regarding
medical matters must identify the primary physicians,
therapists, and counsellors who treated you and state
if the treatment is continuing or when it was complet-
ed. Response should also identify dates, places, and
names of institutions or agencies involved.
c. Item 20e - Bankruptcy. In the case of bank-
ruptcy, give the date and court where judgment was
made.
21H-5
OPNAV INST 5510.1G
2 0 APR 1984
Item 21: (ARRESTS) Check either "Yes" or "No" for
each question in this item. If "Yes" is checked,
provide the following clarifying information.
a. Date.* Self-explanatory.
b. Nature of Offense. Any action that resulted in
the placement of your name on a police or court
record (give docket number or indictment number, if
known) must be listed including any act committed
while still a juvenile or if you were considered a
"Juvenile Offender." List all Article 15, UCMJ, or
Captains' 1VIast if they resulted in fines, restrictions,
demotions, etc. (You may exclude minor traffic viola-
tions for which a fine of $100 or less was imposed.)
c. Name and Address of Police Agency. List the
name of the police agency on the top line and its ad-
dress (city or county and state), on the second line.
d. Name and Address of Court. List the name of
the court on the top line and its address (city or county
and state), on the second line.
e. Penalty Imposed or Other Disposition in each
Case. Self-explanatory.
When in doubt as to the necessity for listing infor-
mation in this item, it is recommended that incidents
be listed to preclude future questions regarding omis-
sions from the form.
* Indicates standard data elements registered in the
DoD Data Elements Program under DOD 5000.12-M.
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OPNAVINST 5510.1G
20 APR 1984
DRUGS
Narcotics
Opium
Morphine
Codeine
Heroin
Meperidine (Pethidine)
Methadone
Other Narcotics
Depressants
Chloral Hydrate
Barbiturates
Glutethimide
Methaqualone
Tranquilizers
Other Depressants
Stimulants
Cocaine
Amphetamines
Phenmetrazine
Methylphenidate
Other Stimulants
Hallucinogens
LSD
Mescaline
Psilocybin-Psilocyn
MDA
PCP
Other Hallucinogens
Cannabis
Marijuana
Hashish
Hashish Oil
2111-6
OFTEN PRESCRIBED BRAND NAMES
Dover's Powder, Paregoric
Morphine
Codeine
None
Demerol, Pethadol
Dolophine, Methadone, Methadose
Dilaudid, Leritine Numorphan, Percodan
Noctec, Somnos
Amytal, Butisol, Nembutal, Phenobarbital,
Seconal, Tuinal
Doriden
Optimil, Parest, Quaalude, Somnafac, Sopor
Equanil, Librium, Miltown Serax, Tranxene,
Valium
Clonopin, Dalmane, Dormate, Noludar, Placydil,
Valmid
Cocaine
Benzedrine, Biphetamine, Desoxyn, Dexedrine
Preludin
Ritalin
Bacarate, Cylert, Didrex, Ionamin, Plegine,
Pondimin, Pre-State, Sanorex, Voranil
None
None
None
None
Sernylan
None
None
None
None
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W 0 P NAV INS T 5510.1G
20 APR 1984
?
SAMPLE DD FORM 398
PERSONNEL SECURITY QUESTIONNAIRE (BI/SBI) DD FORM 398
DATA REQUIRED BY THE PRIVACY ACT OF 1974(5 U.S.C. SS2a)
AUTHORITY: Internal Security Act of 1950 and Executive Orders 10450,12036, and 12065
PRINCIPAL PURPOSES: To obtain background information for personnel security investigative and evaluative purposes in connection with the making of security
determinations with respect to (1) employment or retention in employment in sensitive Department of Defense civilian positions or for other positions that have
been designated as requiring a determination as to whether employment In or assignment to such positions is clearly consistent with the interests of national secur-
lit, (2) membership In the Armed Forces of the United States, or (3) access to classified information.
ROUTINE USES: (1) Determine the scope of a personnel security investigation.
(2) Provide evaluators or adjudicators with personal history information relevant to personnel security determinations.
The information may be disclosed to other Federal agencies that are authorized under specific statutory or Executive authority to make personnel security deter-
minations.
A copy of the report of personnel security Investigation wil be maintained by the Personnel Investigations Center of the Defense Investigative Service Headquarters
and may be used in future employment or security clearance determinations. You have the right to obtain a copy of the report of investigation and/or to request
amendment to the file.
MANDATORY OR VOLUNTARY DISCLOSURE AND EFFECT ON INDIVIDUAL OF NOT PROVIDING INFORMATION:
Voluntary. Failure, however, to furnish all or part of the information requested may result in (1) no ction for employment, membership in the Armed Forces,
or certain other duties requiring a determination as to whether employment in or assignment to is clearly consistent with the interests of national secur.
lty. (2) denial of access to classified information, or (3) reassignment to nonsensitive d ,your social security number is necessary to fulfill re-
quirements of the above cited authorities. It is Intended that this notice be retained f
.
GENERAL INSTRUCTIONS FO ING DD FORM 398
THE PERSONNEL SECURITY QUESTIONNAIRE (PSQ) IS AN IMPORTANT DOCUMENT AND MUST BE COMPLETED WITHOUT MISSTATEMENT OR
OMISSION OF IMPORTANT FACTS. ALL ENTRIES ARE SUBJECT TO VERIFICATION BY INVESTIGATION.
? FORMS MUST BE TYPED OR PRINTED. ALL COPIES MUST BE LEGIBLE.
? IF ADDITIONAL SPACE IS REQUIRED FOR ANY ITEM, USE ITEM 18. "REMARKS." IF SPACE PROVIDED IN ITEM 18 IS INSUFFICIENT, USE
SEPARATE SHEET(S) OF PLAIN WHITE PAPER.
? ALL QUESTIONS MUST BE ANSWERED, IF AN ITEM IS NOT APPLICABLE INDICATE "NOT APPLICABLE" OR "N/A." DO NOT USE THE TERM
"UNKNOWN" FOR DATES OF EMPLOYMENT OR RESIDENCE, IF THIS INFORMATION IS NOT KNOWN PRECISELY, GIVE THE DATE AS BEST
YOU CAN RECALL FOLLOWED BY APPROPRIATE QUALIFYING LANGUAGE, E.G. "DATE ESTIMATED" OR "APPROX."
? UNLESS OTHERWISE SPECIFIED:
? ALL DATES SHOULD BE ENTERED IN TERMS OF YEAR AND MONTH USING THE LAST TWO DIGITS OF THE YEAR AND A TWO DIGIT NUM.
BER REPRESENTING THE MONTH. E.G., JANUARY 1979 WOULD BE ENTERED AS 79-01 AND DECEMBER 1979 WOULD BE ENTERED AS
79-12.
? NAMES OF PERSONS SHOULD BE ENTERED IN THE FOLLOWING ORDER: LAST NAME, FIRST NAME, AND MIDDLE INITIAL.
? ADDRESSES SHOULD INCLUDE THE NUMBER AND STREET, CITY, STATE OR COUNTRY, AND ZIP CODE.
? BEFORE ENTERING ANY INFORMATION ON THE FORM, READ CAREFULLY. THE DETAILED INSTRUCTIONS PROVIDED WITH THE FORM.
IT IS PARTICULARLY IMPORTANT THAT YOU PROVIDE INFORMATION IN RESPONSE TO ITEMS 11, 12, 13.b., 15 and 17 THAT COVER THE
REQUIRED TIME PERIOD; I.E., MOST RECENT 5 YEARS FOR BACKGROUND INVESTIGATIONS AND MOST RECENT 15 YEARS FOR SPECIAL
BACKGROUND INVESTIGATIONS EXCEPT THAT IN BOTH INSTANCES IF YOU ARE UNDER THE AGE OF 21, THE TIME PERIOD IS THE LAST
3 YEARS OR THE PERIOD SINCE YOUR 16th BIRTHDAY, WHICHEVER IS SHORTER. IF AT ANY TIME DURING COMPLETION OF THE FORM A
QUESTION ARISES THAT DOES NOT APPEAR TO BE COVERED BY THE DETAILED INSTRUCTIONS, CONTACT THE INDIVIDUAL OR OFFICE
THAT PROVIDED YOU WITH THE FORM.
? BEFORE SIGNING THE FORM, READ IT CAREFULLY AND CHECK EACH ITEM AGAINST THE DETAILED INSTRUCTIONS.
21H-7
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EXHIBIT 21J
INSTRUCTIONS FOR COMPLETING
DD FORM 398 (OLD)
(STATEMENT OF PERSONAL HISTORY)
This form is an important document and must be
completed without misstatement or omission of im-
portant facts. It is essential that each time an
individual is asked to prepare a Statement of Personal
History, he or she is advised of rights under the Pri-
vacy Act. (See exhibit 21K for the Privacy Act state-
ment used when the subject is requested to complete
the DD Form 398 (SPH) or FD 258.
General Instructions:
The form should be typed using black carbon
paper. All copies must be legible. The original MUST
NOT be part carbon copy. If the form is not typed, the
information must be neatly printed and, unless the ne-
cessary number of copies are reproduced from the ori-
ginal, care must be taken to make sure the information
is identical on each copy.
Copies may be reproduced from an original (typed
or hand-printed) but the original and each copy must
be signed and witnessed. Carbon or reproduced signa-
tures are acceptable for the copies.
If additional space is needed for any item, use
item 20. If more space is needed, use separate sheets
of plain white paper.
Zip code numbers should be provided with all ad-
dresses. ALL questions must be answered. If an item
is not applicable, indicate "None" or "N/A". Do not
use the term "Unknown" for dates of schooling, em-
ployment, or residence. If this information is not
known precisely, indicate by appropriate qualifying
language, e.g., "Date Estimated" or "Approx." All
dates should be entered in terms of year, month and
day, using two digit numbers for each, e.g. 10 Dec-
ember 1982 would be 82-12-10.
When an abbreviated DD Form 398 is allowed for a
person who has previously been the subject of a back-
ground investigation (BI), the following applies:
1. Complete items 1 through 6, 8, 14, and 16
through 21.
2. For all other items, enter any changes or
additions which have occurred since the date of the
DD Form 398 used for conducting the prior investiga-
tion (not the date of completion of the investigation).
However, items 13 and 15 must always include, as a
minimum, current employment and current residence
respectively even though no changes have occurred. In
each instance, enter the social security number in item
13.
3. References with whom you have had recent
association or credit dealings must be listed in item
14. Do not list character references who were previ-
ously listed on a personal history form. Enter "N/C"
21J-1
OPNAV INST 5510.1G
20 APR 1984
(No Change) in each item where no new entry is re-
quired. One complete copy of the previous SPH will be
enclosed with each copy of a "No Change" SPH. If the
previous SPH is not available, the form must be com-
pleted in its entirety.
Before the DD Form 398 is signed, ensure that
each item is checked against the detailed instructions
given below and that the completed form n is carefully
proofread. Errors and incomplete items in the form
could delay an assignment or employment in a sensi-
tive position for which a security clearance is
required.
Detailed Instructions:
Item 1. (Name) List full name, to include first, middle
(EgiFien name, if applicable), and last name, in that
order. Names should agree with military or civilian
employment records; if not, explain in item 20. If no
middle name, use ("N MN)." If initial only, insert the
appropriate initial followed by "(I0)." Check appro- ?
priate block for Mr., Mrs., or Miss. Include additional
designators such as Jr., Sr., 11(2nd), III(3rd), when ap-
plicable. Oriental or Arabic names written in English
should also have Oriental characters (ideographs) or
the Arabic script, if known.
Item 2. (Status), Complete only one status block. Ci-
vilians, including National Guard, Reserve personnel
not on active duty, and applicants for enlistment or
appointment, will check the civilian block.
Item 3. (Aliases) List all aliases, nicknames or changes
in names. This means all names under which you have
been known to employers, associates, or others. If
known by the middle name, list it also. If the name
has changed, utilize additional space under item 20 to
explain where, when and why (e.g., name may have
been changed when adopted or naturalized). If not
applicable, enter "None."
a. Women who are married or were formerly mar-
ried should list maiden name (e.g., Mary Ann Jones)
and names acquired through marriage (Mary Ann
Smith, Mary Jones Smith, Mrs. Robert Louis Smith)
unless listed in item 1.
b. If known by any last name other than that
which appears in item 1, give inclusive dates.
Item 4. (Permanent mailing address) List permanent
mailing address (that is, permanent home address or
legal address; an address at which you are known and
can always be contacted by mail). Do not give milita-
ry address. If this is a large metropolitan area (e.g.,
New York, Chicago, Los Angeles) give the borough or
suburb in which the address is located and always
include the zip code.
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()MAY INST 5510.1G
20 APR 1984
Item 5. (Birth Data and Physical Description) Give
complete birth data (do not abbreviate city, county or
country other than US.) and physical description, to
include any distinguishing marks, scars, tattoos, etc.
Physical description must correspond with that entered
on the fingerprint card, when the card is required.
Indicate the place where the birth certificate is
recorded.
Item 6. (History-Mental, Drugs, Alcohol) Check appro-
priate blocks. Ensure that all three questions are
answered.
a. If the answer to the first question is "Yes,"
include a complete explanation in item 20 with dates
and places and the doctor and/or hospital if any treat-
ment was involved. If treatment was received from
the Veterans Administration, show the VA case number
and type of treatment in item 20.
b. The second question concerns habit-forming
drugs which are being taken or have been taken with-
out a doctor's prescription. If the answer is "yes",
fully explain in item 20.
c. The third question concerns use of alcoholic
beverages which requires, or has required, medical
attention or has caused difficulty with employers or
law enforcement agencies. If the answer to this ques-
tion is "yes", include the name(s) of the doctor and/or
hospital if treatment was involved. Include a complete
explanation in item 20 with dates and places. If treat-
ment was received from the Veterans Administration,
show the VA case number and type of treatment in
item 20.
Item 7. (Citizenship) Citizenship status as reflected in
this item must be complete; i.e., each box must be
completed or annotated "N/A," as appropriate, unless
native born.
a. If a naturalized citizen, list naturalization
certificate number and the date and location of the
court where naturalized.
b. If citizenship was derived, list your Certificate
of Citizenship number or the naturalization certificate
number(s) of parents and the date and place of their
naturalization.
c. If lawfully admitted into the United States
under an immigration visa for permanent residence,
list Immigration and Naturalization number.
d. If not an immigrant alien and not a U.S.
citizen, explain status under item 20.
e. If born abroad to U.S. parents, indicate how and
where birth and citizenship were recorded. If the re-
quired information is not readily available, obtain it
from parents or other sources in possession of such
information. State in item 20 whether or not a Certi-
ficate of Citizenship or Department of State Form
FS240 was received. Enter the certificate or Form
FS240 number in item 20.
21J-2
f. If an alien, list the alien registration number.
If stateless, so indicate as an additional remark in the
"Native Country" block.
Item 8. (Military Service) Indicate current military
status. Include all requested data pertaining to mili-
tary service.
a. Under "Date Current Active Service Started,"
indicate the date of the present enlistment or the date
entered on current active duty, if applicable.
b. Under the "Previous Tours" block, indicate each
previous period of enlistment or extended active duty
service from which a discharge certificate of service
was received even though you enlisted or were ordered
back to extended active duty the following day. Show
the grade and all present and former service numbers
pertinent to each entry. "From" and "To" dates will
show day, month and year and must agree with mili-
tary records.
c. Officers with prior enlisted or warrant officer
service, or who have been integrated into regular sta-
tus, will include the applicable information under the
"Previous Tours" block. Show the grade and all service
numbers pertinent to each entry.
d. Under organization and station, give current
working location to include room and building if on a
base/installation. If assignment at present organiza-
tion and station has been for a period of less than six
months, list in item 20 the last previous organization
and station and working location to include room and
building if on a base/installation.
e. Current Reserve and National Guard Service
will be listed in this block. Previous Reserve affi-
liation will be listed in item 20.
Item 9. (Education) List in chronological order begin-
ning with the last school attended. Give calendar
month and year schooling commenced and terminat-
ed. Include service academies, but do not include in-
service professional courses or schools. Grammer
schools will be listed only if the grammer school was
the last school attended. Indicate whether or not
graduated from each school and indicate degree(s)
received, if any.
a. Location of school must be shown; if located in
a large metropolitan area (e.g., New York, Chicago,
Los Angeles), borough or suburb must be shown. Loca-
tion of schools shown in this item should agree with
residences in item 15; if not, explain the difference in
locations in item 20.
b. Names of schools attended in foreign countries
must be shown in both English and the language of that
country.
c. The specific school, course, or college at all
universities attended must be shown. (This is parti-
cularly important when a college or university was
attended outside the U.S.).
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d. When education occurred overseas, except un-
der auspices of the United States Government, list in
item 20 the names and addresses of two individuals,
preferably U.S. citizens residing in the U.S., who can
verify the period of foreign education through personal
knowledge.
Item 10: (Family)
a. List full names and aliases of spouse, (or coha-
bitant) former spouse(s), and each close relative in-
cluding parents, guardians, stepparents, foster parents,
parents-in-law, children, stepchildren, adopted child-
ren, brothers, sisters, stepbrothers, and stepsisters and
any other persons you resided with or with whom a
close relationship exists or existed even if these per-
sons are deceased.
(1) Precede each name with the relationship
(i.e., brother, sister, daughter, former spouse, etc.).
(2) For each female relative, give both maiden
and married names in full. (Example: Alice May
Jones, nee: Smith, also known as (AKA) Mrs. James
Robert Jones.)
b. Give day, month and year of birth. Indicate
place of birth by city (or county) and state, if born in
the U.S. Give complete addresses including street,
house number, city, state, and zip code. Include coun-
try if other than the U.S.
c. For each person listed as born outside the U.S.
and its territories, use item 20 to show: date and port
of entry into the U.S.; alien registration number; date
of naturalization; place of naturalization; name under
which naturalized; name and location of court of juris-
diction; and naturalization certificate number, when
applicable.
d. If not married, indicate "None" in "Spouse"
block. If married or formerly married, list in item 20
the date and place of marriage and place where the
marriage is recorded.
e. If divorced or legally separated, list the last
known address of the spouse. Indicate in item 20 the
date and place of divorce or separation to include
name and location of the court where the legal action
is recorded.
f. Indicate date of death for deceased relatives or
former spouse.
g. Show current citizenship status of all non-U.S.
citizen relatives.
h. If born in any country or city now divided into
free world and communist-oriented parts, specify in
which part the individual was born. For example, East
or West Germany, East or West Berlin, North or South
Korea.
NOTE: IF YOU ARE PREPARING THE SPH FOR IN-
VESTIGATION REQUIRED FOR SCI ACCESS,
THE FOLLOWING ADDITIONAL INFORMATION IS
REQUIRED: List brothers and sisters of the spouse if
21J-3
OPNAV I NST 5510.1G
20 APR S84
they are not native born U.S. citizens. If any member
of the spouse's immediate family is foreign-born, citi-
zenship status must be explained. If immigrant alien,
the date and port of entry, alien registration number
and addresses for the past five years must be given. If
naturalized citizen, the naturalization certificate
number, date and place of issuance and addresses for
the past five years must be given. If the spouse is not
a U.S. citizen, append a statement signed by him/her
declaring his/her intention concerning application for
U.S. citizenship. Negative responses require an ex-
planation. List prospective spouse and prospective
parents-in-law.
Item 11. (Relatives and Associates) Give complete
identifying data for each relative including grandpa-
rents, aunts, uncles, cousins, brothers-and sisters-in-
law, and other persons with whom a close relationship
exists or existed.
a. If any relative, or alien friend, of you or your
spouse is currently residing in any of the following
countries the method (mail, personal visits, etc.), regu-
larity, and recency of contact, if any, with those indi-
viduals must be shown in item 20 or on a separate
sheet: Afganistan, Albania, Angola, Bulgaria, Kampu-
chea, People's Republic of China (including Tibet),
Democratic Republic of the Congo, Cuba, Czechoslo-
vakia, North Korea, German Democratic Republic
(East Germany, including the Soviet sector of Berlin),
Hungary, Laos, Mongolian Peoples Republic (Outer
Mongolia), Nicaragua, Poland, Rumania, Union of Sovi-
et? Socialist Republics (including Estonia, Latvia,
Lithuania, and all other constituted republics), Kurile
Islands, and South Sakhalin (Karafuto), Vietnam and
Yugoslavia. If the country is geographically divided
(e.g., East/West Germany, Taiwan/Mainland China),
specific area of the country must be provided. Ori-
ental or Arabic names and addresses should be written
in English and the Oriental characters (ideographs) or
the Arabic script, if known.
b. If a relative, who is residing overseas, is a U.S.
citizen with no indicated connection with the U.S.
Government, explain in item 20.
Item 12. (Foreign Travel) List all periods of foreign
travel not under auspices of the U.S. Government. In-
clude the duration of the visit for each country visited,
and the purpose of the travel. If travel was in cities or
countries divided into free world and communist-orien-
ted parts, indicate in which part the travel was per-
formed.
Item 13. (Employment) List each period of employ-
ment, self-employment, and/or unemployment during
the 5-year period immediately preceding the date of
accomplishment of the DD Form 398 (15 year period
for SBI's) or from the date of the 18th birthday, which-
ever is the shorter period. If under age 21, list each
period of employment, self-employment, and/or unem-
ployment during the last three year period. Informa-
tion in this item must be listed in chronological order
beginning with the present period of employment, self-
employment or unemployment. The month and the
year of beginning and ending of each period must be
shown.
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OPNAV INST 5510.1G
2 0 APR V4
a. If self-employed during any period, list in item
20 or on an attached sheet the complete name and ad-
dress of the business and names and addresses of two
individuals who can verify such period(s) of self-
employment.
b. List part-time employment during school vaca-
tions to include position held (e.g., clerk, accountant,
laborer, electrician. etc.) and the department and su-
pervisor's name. List all part-time employments while
on active duty with the military service, and identify
as such.
c. When employment has occurred overseas, ex-
cept under the sponsorship of the U.S. Government,
list in item 20 the names and addresses of two individ-
uals, preferably U.S. citizens, who can verify the
period(s) of employment through personal krlowledge.
d. Include complete name(s), street, house num-
ber, city, and state for each entry regarding periods of
employment, self-employment, or unemployment.
e. Foreign names and addresses should be in Eng-
lish and in the Oriental characters (ideographs) or the
Arabic script, if known.
f. Do not list military service in this item; list
military service under item 8. Do not list any educa-
tion under this item; list education under item 9.
g. If any period of employment was in a large me-
tropolitan area (e.g., New York, Chicago, Los Ange-
les), indicate the borough or suburb. If employed by a
large manufacturing concern (e.g., Chrysler or Gener-
al Motors Corporation in Detroit, Michigan), give the
specific name and location of the plant where actually
employed. If presently employed in a civilian capacity
with the U.S. Government, give current working loca-
tion, to include room and building number, if on a
base/installation.
h. If any period of employment was for a tempo-
rary help supplier, list as the employer, even though
work may have been performed at different locations
with client companies using the temporary help sup-
plier's services.
i. If employed through a union hiring hall, list
firms by which employed. Do not list the union as an
employer unless the salary was, in fact, paid by the
union.
j. If summer activities or similar periods are not
reflected under employment, education, military serv-
ice, etc., enter the term "Unemployed" at the appro-
priate chronological place within item 13 and give the
names and addresses of two individuals who can verify
such periods of unemployment.
k. Ensure that all three questions are answered at
the bottom of item 13 and that the social security
number is typed in the appropriate block. Social se-
curity number must be given. If not known, it must be
obtained before submitting form. If any one of the
three questions is answered "Yes", explain fully in item
20.
21J-4
Item 14. (Credit and Character References) Give
three credit and five character references. Identify
individuals by first name, middle initial, and last
name. (Do not list relatives or persons under 18 years
of age. Members of the same family are not accepta-
ble as separate character references.) Prefix the
name with Mr., Mrs., Miss., or other appropriate title.
a. Credit references should be individuals or firms
who have extended credit to you during the past 5
years.
b. If bona fide credit references cannot be fur-
nished, list a school where tuition was paid, or any
store, gasoline station, automobile dealer, repair shop,
life insurance company, landlord, doctor, lawyer, etc.,
where cash was paid for services or goods and who has
knowledge or records of the financial transactions.
c. Each character reference should be residing in
the U.S. and should be an individual with whom a close
and continuing association exists or has existed. Such
an association is defined as one which permits the cha-
racter reference to have personal knowledge of the
subject's activities and traits of character.
d. List the inclusive periods of association with
each reference by years (e.g., 54-62). When possible,
indicate month within the years listed.
(1) The combined period of time that the five
character references have associated with you should
cover the last 5 years (15 years for an SBI) or since
your 18th birthday, whichever is the shortest period.
(2) If you are under 21 years of age, the com-
bined period of time that the character references
associated with you must cover is the last 3 years of
your life.
(3) If you have had a prior BI or SBI, the com-
bined period of time that the character references
associated with you must cover the period since the
last DD Form 398 was submitted with request for in-
vestigation. Do not list character references who
were listed on any previous personal history form.
e. Do not give hometown references unless they
fall within the above definition. A complete expla-
nation must be provided in item 20 if a character re-
ference is listed with whom a close and continuing
relationship has not existed.
f. Give current, complete address of each refer-
ence. If available, list the home and business ad-
dresses and both telephone numbers. Give such com-
plete instructions with the address that a stranger
could find the location. That is, in the case of a
business address, give the name of the firm where the
reference is employed, plus the exact address. If any
reference is located in a large metropolitan area (e.g.,
New York, Chicago, Los Angeles), indicate the borough
or suburb and zip code. If the address is a small town
or on a rural or Star Route, give complete instructions
from the post office or nearest town. In the case of a
rural address, indicate county, and show the rural
route address (e.g., Star Route, Dickson County, 5
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11,
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miles south of White Bluff, Tennessee, on Highway 191
turn left on Turner Road, proceed 1-1/2 miles to third
white house on right side of road). If space is insuf-
ficient, show the additional information in item 20 or
on an attached sheet. Schematic or free drawn map is
also helpful.
g. Do not list military references unless their pre-
sent military grade, military organization, and address
are known.
Item 15: (Residences)
a. List all places of residence (not employent or
education) during the last 5 years (15 for SBI), or since
18th birthday, whichever is the shorter period, in chro-
nological order beginning with the current address. If
you are under the age of 21, list residences for the
past three years. Give the beginning and ending month
and year for each period of residence. Do not list per-
manent mailing address or home of record in this item
unless you actually resided at the address during the
period(s) listed.
b. Include all military duty stations (including
home-ports) and concurrent civilian residences if such
existed. List all residences not identical with yours
maintained by spouse, such as during overseas deploy-
ment or until legally separated or divorced.
c. Furnish residence addresses in local community
or on base/installation while in military service (not
the permanent home address). List the actual place of
residence while attending school. Do not list merely
the name of the school or "On Campus" as a place of
residence. If a metropolitan address is given, list the
borough or suburb in which it is located. For a rural
address, include complete instructions for locating the
residence as explained in subparagraph f, item 14,
above.
d. If the residence was on a military installation,
include the military organization to which assigned
along with the complete on-base residence address to
include barracks or house number.
e. If residence was in a foreign country, foreign
names and addresses should be in English and in the
Oriental characters (ideographs) or the Arabic script,
if known.
f. When residence was overseas, except under aus-
pices of the U.S. Government, list in item 20 the
names and addresses of two individuals, preferably
U.S. citizens, who can verify the period of foreign
residence through personal knowledge. The same re-
ferences listed to verify education or employment in
overseas areas may be listed to verify residences
overseas.
Item 16. (Organizations) Give pertinent information,
including complete names and locations, of each or-
ganization of which you are or have been a member,
and indicate any office held. Avoid abbreviations.
Show name and address of national organizations from
21J-5
OPNAVINST 5510.1G
20 APR 1984
which local organizations are derived or with which
they are affiliated. Affiliation with labor unions, reli-
gious organizations, or political parties will not be
listed. If this item does not apply, enter "None."
Item 17. (Affiliations) Each question requires either a
"Yes" or "No" answer. If "Yes" has been checked in
answer to any question, enter a complete and detailed
explanation in the space provided or in item 20 (or on
attached sheets, if necessary).
Item 18. (Arrests) The question at the beginning of
this item must be checked either "Yes" or "No".
a. If "Yes" is checked, identify the appropriate
police agency in addition to the date and court where
any trial took place. Include information if detained,
held, arrested or summoned into court (in either the
U.S. or in a foreign country) even though it resulted in
an acquittal or the charges were dropped. Any action
which resulted in the placement of your name on a po-
lice blotter or court record (give docket number or
indictment number, if known) must be listed, including
any act committed while still a juvenile or if you were
considered a "Juvenile Offender." List all courts-mar-
tial giving date, charges, and disposition. List all non-
judicial punishment under Article 15, UCMJ if it re-
sulted in fines, restrictions, demotions, etc. Use item
20 or a separate sheet to explain the circumstances of
all incidents listed.
b. When in doubt as to the necessity for listing in-
formation in this item, it is better that incidents be
listed to preclude future questions regarding omissions
from the form.
Item 19. (Additional incidents) Give details of any
situation or incident which might require some expla-
nation.
Item 20. (Remarks) Use this space for continuation of
other items where insufficient space was provided. If
necessary, attach additional sheets and indicate "See
Attached Sheet(s)" at the end of the space. Include
the item number to which the information pertains.
The witnessing official must read the certification
statement to the subject and must assure himself or
herself that the subject understands the contents. The
subject must understand that the information provided
must be accurate in every detail, and further under-
stand the implications of certifying to false state-
ments. Thereafter, the subject and the witnessing
official must sign and date the forms and the attached
sheet(s), if any, in the presence of each other. While
the originals require original signatures, carbon signa-
tures are acceptable on the copies. The information
must be current as of the date the form is signed. The
form must be completed, signed, and dated within 60
days prior to the date the request for investigation is
dispatched to the Defense Investigative Service.
When the DD Form 398 is executed to cover only
the period since the date of submission of a previous
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OPNAV I NST 5510.1G
20 t\PI 1984
form, enter the following certificate under this AND ALL CHANGES THAT HAVE OCCURRED SINCE
item: I HEREBY CERTIFY THAT THE ABOVE DATE OF PREVIOUS PERSONAL HISTORY FORM.
ENTRIES ARE COMPLETE AND CORRECT TO THE The form will be signed by the subject and witnessed.
BEST OF MY KNOWLEDGE AND INDICATE ANY
21J-6
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OPNAV I NST 5 5 1 0 . 1G
20 APR 1984
? EXHIBIT 21K
PRIVACY ACT STATEMENT
DATA REQUIRED BY THE PRIVACY ACT OF 1974
AUTHORITY: The Department of Defense (DOD) is authorized to collect personal information under 5 U.S.0 301,
Executive Orders 10450 and 9397, and Director of Central Intelligence Directive 1/14.
PRINCIPAL PURPOSES: This information is being collected for the purpose of enabling DOD officials to make
security determinations regarding your
1. employment or retention in employment in a sensitive civilian position, or
2. membership or retention in the Armed Forces of the United States, or
3. access to classified information.
Additionally, the information obtained from you will be furnished to DOD officials to make personnel management
decisions.
ROUTINE USES: The information obtained from you will be furnished to DOD officials. Upon request it may be
furnished to accredited Federal agencies, and law enforcement agencies for their official use.
VOLUNTARY NATURE OF DISCLOSURE: The disclosure of personal information is voluntary. However, failure to
furnish all or part of the information requested may result in
1. non-selection for civilian employment or for membership in the Armed Forces, or
2. reassignment to non-sensitive duties, or
3. denial of access to classified information.
DISCLOSURE OF SOCIAL SECURITY NUMBER: Federal agencies are authorized by Executive Order 9397 to
maintain systems of records by social security number to verify the identity of individuals. Your social security
number will be used to determine if information pertaining to you is contained in DOD records and may also be used
to enter information about you into these records. The furnishing of your social security number is voluntary on your
part.
21K-1
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22-1 BASIC POLICY
CHAPTER 22
PERSONNEL SECURITY DETERMINATIONS
1. The principal objective of personnel security deter-
minations is to ensure that the loyalty, reliability,
judgment, and trustworthiness of those with access to
classified information or those assigned to sensitive
duties are such that entrusting them with classified
information or assigning them to sensitive duties is
clearly consistent with the interests of national
security.
2. The personnel security determination of eligibility
for access to classified information or assignment to
sensitive duties requires a commonsense evaluation of
all available information about the individual. All
information, favorable and unfavorable, is to be con-
sidered and assessed in terms of accuracy, complete-
ness, relevance, seriousness and overall significance.
3. A determination to grant security clearance or to
assign an individual to sensitive duties will be based, as
a minimum, on a personnel security investigation or
check in accordance with the requirements specified in
chapter 21 for the various levels or kinds of access,
positions or duties.
4. Determinations of suitability or eligibility for civil-
ian employment or military service are not personnel
security determinations unless loyalty is the central
issue. Unless or until competent authority determines
that there is a reasonable basis for doubting a person's
loyalty to the Government of the United States, deci-
sions regarding appointment or retention in civilian
employment or acceptance or retention in the Navy
and Marine Corps are governed by personnel adminis-
tration (nonsecurity) policies and procedures, not this
regulation. It is essential that this distinction be made
and understood.
5. Personnel security determinations will be documen-
ted on the Certificate of Personnel Security Investiga-
tion, Clearance and Access (OPNAV Form 5520/20), as
required by exhibit 22A. Each time a final clearance
action or other documentation of a personnel security
determination is entered on OPNAV Form 5520/20 for
a military member, a copy of the form must be sent to
Commander, Naval Military Personnel Command
(NMPC-81) for a Navy member or to the Commandant
of the Marine Corps (1VISRB) for a Marine Corps
member.
22-2 SECURITY CRITERIA
1. The personnel security determination required by
paragraphs 20-1 and 22-1 will be an overall, common-
sense determination based on all available informa-
tion. In arriving at the determination, certain acti-
vities and associations, current or past, of varying
degrees of seriousness, warrant appropriate investi-
gation and careful consideration.
2. Involvement in any of the following, while not ne-
cessarily an all-inclusive listing, will be evaluated:
22-i
OPNAVINST 5510.1G
10 APR 1904
a. Commission of any act of sabotage, espionage,
treason, terrorism, sedition, or attempts thereat or
preparation therefor, or conspiring with or aiding or
abetting another to commit or attempt to commit any
act of sabotage, espionage, treason, terrorism, or
sedition.
b. Establishing or continuing a sympathetic asso-
ciation with a saboteur, spy, traitor, seditionist, anar-
chist, terrorist, or revolutionist, or with an espionage
or other secret agent or representative of a foreign
nation whose interests are inimical to the interests of
the United States, or with any person who advocates
the use of force or violence to overthrow the Govern-
ment of the United States or the alteration of the
form of Government of the United States by unconsti-
tutional means.
c. Advocacy of use of force or violence to over-
throw the Government of the United States or of the
alteration of the form of Government of the United
States by unconstitutional means.
d. Knowing membership with the specific intent
of furthering the aims of, or adherence to and active
participation in, any foreign or domestic organization,
association, movement, group, or combination of per-
sons that unlawfully advocates or practices the com-
mission of acts of force or violence to prevent others
from exercising their rights under the Constitution or
laws of the United States or any State or subdivision
thereof by unlawful means.
e. Performing or attempting to perform one's du-
ties, or otherwise acting, so as to serve the interests
of another government in preference to the interests
of the United States.
f. Close or continuing association with persons or
organizations whose activities are of the type des-
cribed in a through e.
g. Excessive indebtedness.
h. Criminal or dishonest conduct.
i. Deliberate false statement, deception or fraud
in applying for enlistment or appointment or in provid-
ing information in connection with a security clear-
ance or assignment to a sensitive position.
j. Habitual or episodic use of intoxicating bever-
ages to excess.
k. Abuse of, or addiction to, narcotics, drugs, or
other controlled substances.
1. Any facts, circumstances, or conduct that fur-
nishes reason to believe that the person concerned may
be subjected to coercion, influence, or pressure that
could cause him or her to act contrary to the national
security. Such facts or circumstances may include the
pressure of an immediate family member, friend or as-
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OPNAV INST 5510 . 1G
20 APR 1984
sociate residing in a nation whose interests may be
inimical to the interests of the United States or in
satellites or occupied areas of such a nation. Imme-
diate family includes parents, brothers, sisters,
children, and spouse.
m. Any facts, circumstances, or conduct that in-
dicate poor judgment, unreliability, or untrustworthi-
ness, thereby suggesting that the person concerned
might fail to safeguard classified information, deliber-
ately or inadvertently, or may not be suitable for as-
signment to sensitive duties.
n. Any illness, including any mental condition, of
a nature which in the opinion of competent medical
authority may cause significant defect in the judgment
or reliability of the person concerned, with due regard
to the transient or continuing effect of the illness and
medical findings in such case.
o. Wanton or reckless disregard of public law, sta-
tutes, Executive Orders, or willful disregard of secur-
ity regulations.
p. Refusal or intentional failure to provide mate-
rial facts in a personal history statement or security
form or otherwise intentionally failing or refusing in
the course of an investigation, interrogation or hear-
ing, to answer or to authorize others to answer, any
material questions regarding the matters set forth in a
through o of this paragraph.
22-3 PERSONNEL SECURITY DETERMINATION
AUTHORITIES
1. The authority to deny appointment or retention in
employment of civilian personnel, for loyalty reasons,
is vested solely in the Secretary of the Navy. Under
the authority delegated to the Chief of Naval Opera-
tions (Director of Naval Intelligence) by SECNAVINST
5510.30, reference (bb), other personnel security res-
ponsibilities are delegated to designated officials, as
follows:
a. Commanding officers:
(1) Adjudicate investigations and other rele-
vant information on military personnel under their jur-
isdiction to determine eligibility for access to classi-
fied information or assignment to sensitive duties.
(2) Grant personnel security clearances to or
authorize assignment to sensitive duties of those mili-
tary personnel on whom a favorable determination is
made and those civilian personnel who have been de-
termined to be eligible by Director, Naval Civilian
Personnel Command.
(3) Deny or revoke security clearances or reas-
sign from sensitive duties those military personnel on
whom adverse personnel security determinations are
made.
(4) Review investigations and other relevant
information on military personnel containing adverse
loyalty information and refer to the Commander,
Naval Military Personnel Command (NMPC-81) (Navy
personnel) or Commandant of the Marine Corps (Code
22-2
MM) (Marine Corps personnel) those cases in which
non-acceptance or non-retention for loyalty reasons is
recommended.
b. Director, Naval Civilian Personnel Command:
(1) Adjudicate investigations and other rele-
vant information on civilian personnel of the Depart-
ment of the Navy to determine eligibility for access to
classified information or assignment to sensitive du-
ties.
(2) Notify commanding officers of eligibility
for access to classified information or assignment to
sensitive duties of civilians on whom favorable secur-
ity determinations are made.
(3) Deny or revoke security clearances or eli-
gibility for assignment to sensitive duties of those
civilians on whom adverse personnel security determi-
nations are made.
(4) Review investigations and other relevant
information on civilian personnel containing adverse
loyalty information and refer to the Secretary of the
Navy, via the Director of Naval Intelligence, those
cases in which denial of appointment or termination of
employment for loyalty reasons is recommended.
c. Commander, Naval Military Personnel Com-
mand:
(1) Adjudicate investigations and other rele-
vant information on Navy military personnel when
appropriate.
(2) Grant personnel security clearances to
Navy military personnel when appropriate.
(3) Deny acceptance or retention in the Navy
for loyalty reasons.
(4) Grant or deny appeals from Navy military
personnel of adverse personnel security determinations
or establish procedures to delegate this authority.
d. Commandant of the Marine Corps:
(1) Adjudicate investigations and other rele-
vant information on Marine Corps military personnel
when appropriate.
(2) Grant personnel security clearances to
Marine Corps military personnel when appropriate.
(3) Deny acceptance or retention in the Marine
Corps for loyalty reasons.
(4) Grant or deny appeals from Marine Corps
military personnel of adverse personnel security deter-
minations or establish procedures to delegate this
authority.
e. Chief of Naval Operations:
(1) Grant or deny appeals, from Department of
the Navy civilian personnel, of adverse personnel
security determinations made by Director, Naval Civi-
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OPNAVINST 5510.1G
O APR 1984
3. Usually, the personnel security determination is re-
corded as a clearance action on OPNAV Form 5520/20.
In rare cases, a clearance action will not be appropri-
ate, in which case, record the determination in the
Comments section of OPNAV Form 5520/20. A clear-
ance entry is not appropriate, for example, when a
personnel security determination is made for assign-
ment to a civilian sensitive position that excludes
access to classified information. Although it would
appear to make little difference if a clearance were
granted in a favorable case, a problem would arise if
an adverse personnel security determination were sub-
sequently made. Action to revoke a clearance, which
the position did not require, could create insurmount-
able legal difficulties. A clearance entry is not appro-
priate to reflect the adjudication of an investigation of
a lower order than the basis for a current clearance,
that is, when a National Agency Check is conducted
after an NACI or a Background Investigation. The sit-
uation would arise if an NAC had to be completed to
satisfy requirements for current investigation (within
the past 5 years) for the PRP or for a NATO billet at
the Secret level, and the individual had a Top Secret
clearance based on a BI.
?
?
lian Personnel Command - by means of the Depart-
ment of the Navy Personnel Security Appeals Board
(PSAB) established and appointed by CNO (0p-01).
CNO (0p-01) will establish the PSAB to act in his or
her stead in deciding appeals from Department of the
Navy civilian personnel of adverse personnel security
determinations made by DIR NCPC pursuant to para-
graphs 22-3.1b and 22-6.1. (Exhibit 22B prescribes the
PSAB composition and the procedures under which it
will act.)
(2) Grant or deny Limited Access Authoriza-
tion - Op-009.
2.1 Tile_Director-of-Naval-Intelligence-;--aYithd-S-enion
Offrcial_of -the Intelligende Cominunity_ (SOIC)-for thel
Department of th-e-Navy; has-been-designated-by-the-
Secretary Defense _as Old offi-dial :authorized-to - 7
k-graht, deny or re-Voke-access-to7sensitive-compart-n
nieritd inforniati-on (SCI). --Under procedures estab-
lished by the DNI, Commander Naval Intelligence
Command and Commander, Naval Security Group
Command have been delegated authority to:
a. (Adjudicate-personnel--security investigations
and relevant-information_on all nominees for access to -
(-SCI.7
Grant,_denTor-revoke access-to SGI:-
22-4 PERSONNEL SECURITY DETERMINATIONS
1. A personnel security determination must be made
and documented when a personnel security investiga-
tion is completed. A personnel security determination
is also required when access to classified information
or assignment to sensitive duties is necessary under
interim or emergency conditions; or questionable or
unfavorable information becomes available about an
individual on whom a favorable determination had been
made; or there are reasonable indications that the fac-
tors upon which a previous adverse determination was
made no longer exist and the individual is a candidate
for clearance or assignment to sensitive duties.
2. You will notice that a determination must be made
when a personnel security investigation is done but an
investigation is not the only basis for a determina-
tion. All available information must be evaluated by
the determining authority to determine initial and
continued eligibility for access to classified informa-
tion or assignment to sensitive duties. The Adjudica-
tion Guidelines in exhibit 22C are to be used in eval-
uating information in personnel security investigations
and information available from other sources including
personnel, medical, legal and security files. As the
basis for a personnel security determination is usually
expressed in terms of the investigative requirements,
there is sometimes a tendency to discount information
acquired about an individual because it isn't document-
ed by an investigation. Eligibility for access or assign-
ment to sensitive duties depends on consideration of
all information from any source reflecting on an indi-
vidual's loyalty, reliability, judgment and trustworthi-
ness. In all adjudications, the protection of the
national security must be the paramount determinent.
. 22-5 ADVERSE PERSONNEL SECURITY ACTIONS
22-3
1. The following constitute adverse personnel security
actions under the provisions of this regulation, when
the actions described are based on adverse personnel
security determination:
a. Denial (including granting security clearance
for a lower classification than the level of the investi-
gation would normally support) or revocation of secur-
ity clearance;
b. Denial or revocation of a Special Access Au-
thorization (including access to sensitive compartmen-
ted information);
c. Non-appointment to or non-selection for sensi-
tive duties;
d. Reassignment to duties of lesser sensitivity or
to a civilian nonsensitive position;
e. Non-appointment to or termination of civilian
employment for loyalty reasons:
f. Non-acceptance for or discharge from the Navy
or Marine Corps for loyalty reasons.
2. Military members or civilians will not be removed
from employment or separated from the service using
this regulation as authority if removal or separation
can be effected under administrative (nonsecurity)
regulations.
3. Reduce to writing the rationale underlying each
adverse personnel security determination. Normally,
the statement of reasons and the written final reasons,
required by paragraph 22-6, will suffice as the ra-
tionale.
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OPNAV INST ? 5510.1G
2.0 APR 1984
4. The commanding officer will determine whether, on
the basis of all the facts available upon receipt of the
initial derogatory information, it is in the interests of
national security to take interim action to suspend or
limit the individual's access to classified information
or assignment to other sensitive duties until a final
determination is made.
22-6-ADVERSE PERSONNEL SECURITY-DETER/V11--2
gATION.PROCEDURES?J
1. With the exceptions noted below, when an adverse
personnel security action is being taken under the au-
thority of this regulation, the person concerned will be
given:
a. A written statement of the reasons why the ad-
verse personnel security action is contemplated;
b. An opportunity to reply in writing;
c. A written response to any submission under
subparagraph b above, stating the final determination
with the reasons therefor, or, when the person con-
cerned has failed to reply within a specified period, a
written statement of the final determination with the
reasons for the action as specifically as privacy and
national security considerations permit; and
d. An opportunity to appeal to a higher level of
authority. (See paragraph 22-3.)
2. The authority to deny appointment or terminate
employment of civilian personnel for loyalty reasons is
vested solely in the Secretary of the Navy, under pro-
cedures established in compliance with the Federal
Personnel Manual, Chapter 732. Any civilian whose
employment has been terminated under the provisions
of this regulation will not be reinstated, restored to
duty or reemployed unless the Secretary of the Navy
finds that such reinstatement, restoration or reem-
ployment is clearly consistent with the interests of
national security.
3. The authority to take final adverse personnel secur-
ity action to deny acceptance or retention in the Navy
and Marine Corps for loyalty reasons is vested in the
Commander, Naval Military Personnel Command and
the Commandant of the Marine Corps. A case may be
referred to the Secretary of the Navy for concurrence
or nonconcurrence. When action is proposed to separ-
ate a military person for loyalty reasons, follow the
procedures prescribed in SECNAVINST 1910.4, refer-
ence (gg).
4. When the adverse personnel security action being
taken is denial or termination of access to sensitive
compartmented information, procedures promulgated
by the Commander, Naval Intelligence Command or
Commander, Naval Security Group Command apply.
5. Red Cross and United Service Organization employ-
ees are afforded procedures as prescribed for the
Defense Industrial Security Clearance Program. (See
SECNAVINST 5521.18, reference (ff).)
6-.--Report-finar-adse_personnel-security--
(-based on-De fenwInvest er v fd-C-(1)L5)-inTidaig
(tons, to_DIS_for_recording-in-the-D_efer-gF-Celitral
Iiide)--r-of--Investigatioiin_addition-to-any-aher
Ffthg requiremtlItithat maitiraTtiblished
22-7 VALIDITY AND RECIPROCAL ACCEPTANCE
OF PERSONNEL SECURITY DETERMINATIONS
1. A personnel security clearance, granted by an au-
thority of the Department of Defense,nains-val-ia
(the-Department-of-Delense-tintit---)
a. The individual is separated from the Armed
Forces or civilian employment, or the individual has no
further official relationship with the Department of
Defense, or
b. The clearance has been officially withdrawn, or
it has been denied or revoked for cause.
2. The clearance of any individual, military or civili-
an, will be issued only by the designated authorities of
the parent military department or Defense agency, and
will not be issued or reissued by another department or
agency to which the individual is detailed or assigned
for a tour of duty. Commanding officers may issue in-
terim clearances to personnel under their administra-
tive jurisdiction, pending final clearance action by the
parent department or agency. In those cases, provide
written notice of the action to the parent department
or agency. (See paragraph 23-4 for transcription to
OPNAV Form 5520/20 when an individual transfers to
the Department of the Navy from another DOD com-
ponent.)
3. Personnel-security-determinations-of-agencies-ofn
Oe--Fe-deral:G-overnme-ntrother-than-the-Department
e_:_-Defensei-may:be_accepted=toic ararice-purp-oses
(p-roVided-th-Cinvest igative-basis -for -the -other ?agency!
determinatiDfins..valid7aTdi
discioses-no-reason:whTzthcliduld=not-be
licceptett.
4. A Special Access Authorization issued by a military
department or agency of the Department of Defense,
rexcept:.'Wheess-:to-seicomp-artrriented-in-
dormatiallISCT)-has-been-authorized-by-theZparent7
COmm-aTid-{1-0er_a_waiVer7-Will be accepted for access
purposes by other military departments and DOD
agencies.
22-4
5. Personnel in the Department of Defense who re-
quire access to Restricted Data do not need addition-
al clearances. A security clearance granted by a DOD
activity has been accepted by the Department of Ener-
gy (DOE) as the basis for access to Restricted Data of
the same or lower classification. DOE and Nuclear
Regulatory Commission (NRC) clearances for person-
nel of other Federal agencies are accepted by DOD as
follows:
DOE and NRC Clearances DOD Clearance
"L" (For NRC employees, Secret
consultants and contractor
personnel, and for DOE contrac-
tor personnel only, access up to
Secret except Restricted Data
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for which access to Confiden-
tial only is authorized
IlQtt
"Q" (with specific
authority for Top
Secret access)
Secret
Top Secret
6. Whenever a personnel security determination or
Special Access Authorization is in the record, com-
manding officers may not request DOD investigative
agencies to forward prior investigative files for review
unless:
a. Significant derogatory information, developed
subsequent to the date of last determination or Special
Access Authorization, is known to the requestor, or
b. The individual concerned is being considered
for a higher level of clearance or for a Special Access
Authorization not currently held.
22-8 CONTINUOUS EVALUATION OF ELIGIBILITY
1. Personnel security responsibilities don't stop once a
favorable personnel security determination is made.
?
OPNAV I NST 5 5 10 . 1G
20 APR 1984
Ertelt-command-m-ust-have-a-progra-m-for-continuous--?
evatuation-of--eligibilitrfor_ac-aess to-classifiedri
cniationsignmersitatai
22-5
2. Under this program,_estab1ishmnternaFchannelfor?
will be assessed from a security perspective. There
should be complete understanding by the personnel of-
ficer, security officer, legal officer, medical officer
and supervisory personnel that information which could
place an individual's loyalty, reliability, judgment, and
trustworthiness in question has to be evaluated from a
security standard. They should be familiar with the
Adjudication Guidelines in exhibit 22C and alerted that
behavior indicating unexplained affluence, financial in-
stability, alcohol and drug abuse, mental or emotional
instability, or criminal conduct are significant consi-
derations. The purpose of the program is to remove
potential risk before damage is done.
3. When derogatory or questionable information is ac-
quired on an individual who holds a security clearance
or Special Access Authorization or who is assigned to
sensitive duties, the appropriate determination author-
ity (see paragraph 22-3) must re-evaluate that individ-
ual's eligibility for access or assignment.
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OPNAVINST 5510.1G
20 APR 1984
?
EXHIBIT 22A
DETAILED INSTRUCTIONS FOR COMPLETING OPNAV FORM 5520/20
(CERTIFICATE OF PERSONNEL SECURITY INVESTIGATION, CLEARANCE AND ACCESS)
GENERAL
A Certificate of Personnel Security Investigation,
Clearance and Access (OPNAV Form 5520/20) is exe-
cuted for each member of the Department of the Navy
on whom a personnel security investigation has been
completed or a personnel security determination has
been made, with the following exceptions:
1. Foreign nationals (except Philippine non-
immigrant aliens on active duty in the Navy under the
conditions described below);
2. Civilian appointees to nonsensitive posi-
tions;
3. Individuals granted Limited Access Au-
thorizations.
A certificate will not be executed solely to record
an ENTNAC, NAC, or NACI on an immigrant alien.
Only if the immigrant alien is being processed for se-
curity clearance, the required BI has been requested,
and interim Confidential clearance is necessary, will a
certificate be executed, citing the ENTNAC, NAC, or
NACI as the basis for interim Confidential. A certifi-
cate will not be executed for a Philippine nonimmi-
grant alien on active duty in the Navy unless the BI,
required for Confidential clearance, has been com-
pleted.
A certificate will not be executed solely to record
access granted at your command to visitors, persons on
temporary additional duty or reservists on active duty
for training. Erasures, typeovers and white outs are
not permissible. If an error is made, the incorrect
entry may be lined out, and initialed by the authorizing
official and a new entry made. If a correction makes a
significant difference, an explanation may be given in
the Comments section. Corrections may be made to
show change of status (name, citizenship, change from
enlisted to officer or military to civilian etc).
Each time a personnel security investigation or a
personnel security determination or a correction is en-
tered on OPNAV Form 5520/20 for a military member,
you must send a copy to Commander, Naval Military
Personnel Command (NMPC-81) for a Navy member,
or Commandant of the Marine Corps (MSRB) for a Ma-
rine Corps member. NMPC and CMC do not require
copies of entries in Part IV - Record of Access.
DETAILED INSTRUCTIONS
Part I - Identification Data. Enter complete personal
identification: first, middle and last name, date of
birth as a six-digit number by year, month and day
(e.g., 580203), place of birth showing city and state/-
22A-1
possession or city and country if born abroad, and the
social security number. Status as officer, enlisted or
civilian is to be marked, with rank/grade/rating and
service affiliation (USN or USMC). The service date,
expressed as a six-digit number, is to be the year,
month and day continuous service commenced. (See
paragraph 21-18 for a definition of continuous serv-
ice.) The sole purpose of the service date is to estab-
lish validity of investigations. You must verify citi-
zenship status in accordance with paragraph 20-5
before entry on the form. If U.S. citizenship was
acquired at birth, check U.S. Native. If citizenship
was acquired through naturalization of the subject or
the subject's parents, enter the effective date and the
certificate number.
If the subject is an immigrant alien, that is, an
individual who has been accepted for permanent resi-
dence in the U.S., enter the date immigrant alien sta-
tus was acquired and the alien registration number.
Place the following statement in the Comments sec-
tion:
"(date) Immigrant alien, not eligible for Top Secret
clearance, for Special Access programs such as SCI,
SIOP-ESI, Presidential Support duties, PRP, NATO, or
for access to COMSEC keying material classified high-
er than Confidential, to naval nuclear propulsion infor-
mation (NNPI), to cryptographic information or to
intelligence information (unless authorized by the
originator)."
If the subject is a Philippine nonimmigrant alien on
active duty in the Navy, place the following statement
in the Comments section:
"(date) Philippine nonimmigrant alien. Clearance
not authorized above Confidential level. Not eligible
for Special Access programs such as SCI, SIOP-ESI,
PRP, NATO, Presidential Support duties, or for access
to naval nuclear propulsion information (N NP!), to
communications analysis, CO1VISEC information, or to
intelligence information (unless approved by the
originator)".
If citizenship status changes, line out and initial
the old status and any restrictive comments, mark the
new status and enter any new statement in the Com-
ments section. When an immigrant alien reverts to fo-
reign national status for security purposes because of
failure to become naturalized within the time limit
prescribed in paragraph 20-4, line out the statement in
the Comments section and enter "Not eligible for
clearance". (Any clearance entered in Part III will be
withdrawn under the instructions for Part III and that
action will be reflected in the Comments section.)
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OPNAV INST 5510.1G
2o APR 1984
Part II - Record of Investigation. Enter each
ENTNAC, NAC, NACI, BI, FFI, SBI, BI-PR OR SBI-PR
(unless the subject is in a category for which a cer-
tificate is not to be executed), the agency which con-
ducted the investigation - DIS (or its predecessors),
OPM (or CSC), etc. The date to be entered, as a six-
digit number showing year, month and day, is the date
the investigation was completed. Enter the case con-
trol number (CCN) if available. A CCN is not assigned
to every investigation and is not an essential element
of the record, so if the CCN is not known, enter
"N/A". A personnel security determination will be
made upon completion of each investigation, and ref-
lected in a clearance entry in Part ifi. In those rare
instances when it is not appropriate to reflect the
personnel security determination in a clearance action,
enter the results of the determination in the Com-
ments section, signed by the commanding officer or a
designated clearance authority. (See paragraph 22-4
for, a discussion on the circumstances under which a
clearance action is not appropriate.)
Part III - Record of Clearance. Enter, as a six-digit
number showing year, month and day, the date the
clearance entry is made. Enter the level of clearance
as Top Secret, Secret or Confidential and indicate
whether it is an interim or final clearance. Enter the
basis for the clearance. In most cases, the basis will
be the investigation recorded in Part II, unless other
basis for clearance has been authorized, e.g., a check
of locally available records (LRC) for interim Confi-
dential or for final Confidential granted before 1 Jan-
uary 1976 and a DCII check for interim Secret. Enter
the date of the basis for clearance (investigation com-
pletion date or date of the records or DCII check) as a
six-digit number for year, month and day. An entry in
Part III must be signed by a designated clearance au-
thority with his or her typed name and command. The
signer must have had a BI and, if not the commanding
officer, must be specifically designated as a clearance
authority.
Entries Based on ENTNAC's
If the subject of an ENTNAC is not a candidate for
clearance or assignment to sensitive duties at the time
the ENTNAC is completed, entry in Part III will be
made as follows:
1. If the ENTNAC is favorable or favorably
adjudicated, enter "None" in Clearance column, and
"Clearance not required" in the Remarks column.
2. If the ENTNAC is not favorable, enter
"None" in Clearance column and "See page (13) (11)"
(referring to record entries required by BUPERSINST
5521.2 or MCO 5521.3) in the Remarks column.
Interim Clearance
For interim clearance, enter in the Remarks col-
umn the date of the request for the investigation re-
quired for final clearance and a clearance expiration
date six months from the date of the request. Interim
clearance can be extended in six-month increments if
22A-2
the investigation is not completed by the expiration
date and TRACER action confirms the investigation is
still open.
Final Clearance
The final clearance granted will be at the highest
level the investigation will support (that is, a Top
Secret clearance will be granted when the investiga-
tion is a BI, SBI, BI-PR, SBI-PR or FFI, a Secret clear-
ance when the investigation is an ENTNAC, NAC,
NAC-PR or NACI) unless:
1. An adverse personnel security determina-
tion has been made (see paragraph 22-5, and note that
clearance at a level lower than the investigation would
support constitutes a denial of clearance at the higher
level and is an adverse personnel security determina-
tion); or
2. The subject is an immigrant alien and not
eligible for Top Secret clearance upon completion of a
BI; or
3. The subject is a Philippine nonimmigrant
alien on active duty in the Navy and not eligible for
clearance above the Confidential level upon comple-
tion of a BI.
When final clearance is not granted for the
highest level the investigation will support, the action
must be explained in the Comments section. If the ac-
tion is based on an adverse personnel security determi-
nation, state the action taken in the Comments section
with a reference to the personnel record entry or com-
mand correspondence or other documentation which
supports the action, e.g. "(date) Clearance granted at
the Confidential level per CO USS Argo ltr ser 123 of
18 Aug 1982." The entries already required for immi-
grant aliens or Philippine nonimmigrant aliens on ac-
tive duty in the Navy are sufficient explanation for
their level of clearance.
When clearance is administratively withdrawn,
overwrite the clearance entry, "WITHDRAWN" and
place a statement of the reason, signed by a designat-
ed clearance authority, in the Comments section, e.g.
"(date) Not eligible for clearance for citizenship rea-
sons or "(date) Reassigned to nonsensitive position".
When clearance is denied, enter "Denied" in Part
III and explain in the Comments section. When clear-
ance is revoked for cause, overwrite the clearance
entry, "REVOKED", and explain in the Comments sec-
tion. The explanation in the Comments section, signed
by a designated clearance authority, will not specify
the cause for denial or revocation (such as "Revoked
for drug abuse") but refer to the personnel record
entry, command correspondence, or other documenta-
tion supporting the action, e.g. "(date) Clearance
(denied) (revoked) per CO USS Argo ltr ser 123 of 18
Aug 1982."
If a clearance is being transcribed from an obso-
lete certificate or other clearance certification, the
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OPNAVINST 5510.1G
20 APR 1984
date in Part III will be the date the current entry is
made. Place, in the Comments section, a statement
"(date) Transcribed from (command which originally
granted clearance) certificate of clearance of
(date)." The clearance level entered will be the high-
est level the investigation will support if it is apparent
by the absence of unfavorable information that the
original clearance was issued at a lower level without
prejudice to the individual.
Part IV - Record of Access
For each entry, the record will show the command
granting the access, the level of classification or kind
of access, the date from which access is effective (six-
digit number showing year, month and day), the signa-
22A-3
ture and typed name and title of the authorizing offi-
cial and any clarifying remarks. Adjust access to
reflect current need. No explanation need be given for
a change in access unless it is the result of an adverse
personnel security determination. In that case, the
notation, "See Comments," would be placed in the Re-
marks column and reference to the adverse determina-
tion entered in the Comments section. When a clear-
ance is administratively withdrawn, or revoked for
cause, all accesses based on the clearance will be
formally terminated. Otherwise, access is automatic-
ally terminated when the individual transfers from the
command, is discharged or is separated from Federal
service. A date of termination is needed only if access
is terminated for reasons other than automatic termi-
nation.
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Mir
OPNAVINST 5 5 1 0 . 1G
20 APR 1984
EXHIBIT 22B
PERSONNEL SECURITY APPEALS BOARD (PSAB)
(CIVILIAN PERSONNEL)
appointed as an ad hoc member to sit in place of the
member with a civilian personnel backgrond.
E. PROCEDURES
1. CNO (0p-01) shall establish procedures to:
a. Govern the frequency of meetings to re-
view appeals;
b. Set places and times of the meetings;
A. AUTHORITY. OPNAVINST 5510.1G
B. PURPOSE. The purpose of the Personnel Security
Appeals Board is to act in the stead of the Deputy
Chief of Naval Operations (Manpower, Personnel, and
Training) (0p-01) in deciding appeals from Department
of the Navy civilian personnel of adverse personnel
security determinations made by the Director, Naval
Civilian Personnel Command pursuant to paragraph 22-
3.1b and 22-6.1 of OPNAVINST 5510.1G.
C. ESTABLISHMENT OF THE PSAB. The PSAB is
hereby established under the authority of CNO
(Op-01).
D. COMPOSITION OF THE PSAB
1. CNO (Op-01) shall appoint standing and ad hoc
members of the PSAB.
2. CNO (0p-01) shall appoint a President and
alternate from the standing members of the PSAB.
3. Members of the PSAB shall be, at the mini-
mum, in the military grade of 0-5 or civilian grade
GM/GS-14.
4. Each member of the PSAB must have been the
subject of a background investigation.
5. The PSAB shall consist of the following
members:
a. One member with personnel security
background from the staff of the Director of Naval
Intelligence.
b. One member with a civilian personnel
background from the staff of CNO (Op-14).
c. One member who is an officer from the
staff of Naval Military Personnel Command, Military
Personnel Performance and Security Department
(NMPC-8).
d. A Navy employee of Senior Executive
Service (SES) grade shall be appointed to serve as a
member of the PSAB to sit in place of the member
with a civilian personnel background when an employee
of the Navy who is a member of the SES submits an
appeal.
e. A civilian employee of the Marine Corps
with a civilian personnel background shall be appointed
to serve as a member of the PSAB to sit in place of
the member with a civilian personnel background when
an employee of the Marine Corps submits an appeal.
f. When an employee of the Marine Corps
who is a member of the SES submits an appeal, an
employee of the Marine Corps of SES grade shall be
2 2B- 1
c. Select and notify which standing mem-
bers shall attend meetings or serve as a panel of the
PSAB (i.e., rotational duty);
d. Delegate signature authority;
e. Determine which review procedures
shall be followed; and
f. Handle other administrative matters.
2. CNO (0p-14) shall make an attorney available
for any legal questions, guidance, or opinions requested
by the PSAB.
3. The PSAB is the sole appellate authority for
adverse personnel security determination appeals for
DON civilians and other personnel for whom NCPC ad-
verse personnel security determinations have been
made. There is no appeal of the decision of the
PSAB. In acting on appeals, the PSAB shall adhere to
the following procedures:
a. Upon receipt of an appeal from an indi-
vidual, the President of the PSAB shall request the
case file from NCPC. The PSAB shall review the ap-
peal and the associated case file.
b. The PSAB shall render a decision on the
appeal pursuant to the criteria set forth in paragraph
22-2 of OPNAVINST 5510.1G or its successor. The de-
cision shall be based solely on the written record.
Hearings shall not be held, and there shall be no
personal presentation before the PSAB. PSAB mem-
bers shall not engage in ex parte communications with
appellants or their representatives.
c. Formal meetings are not a prerequisite
for PSAB action. The PSAB may act in a formal meet-
ing or by routing appeals and case files to the memb-
ers. Should any member request a formal meeting to
discuss any case or cases, the President shall call such
a meeting. The PSAB decision shall be based on a ma-
jority of the votes' cast. If the PSAB review is
accomplished by routing the case file and appeal
through the members, their votes shall be recorded on
the routing sheet. Only sitting PSAB members may
vote on an appeal. Each case must be reviewed by all
three members.
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OPNAVINST 5510.1G
20 APR 1984
d. The President of the PSAB or, in his/her
absence, the alternate shall sign appeal decisions on
behalf of Op-01.
e. The individual shall be notified of the
decision via the commanding officer. If the appeal re-
sults in an adverse personnel security determination,
the PSAB's notification shall advise the individual, as
specifically as national security and privacy considera-
tions permit, of the reason(s) for the determination.
f. The case file and a copy of the determi-
nation shall then be sent to N CP C for retention.
g. Appeals filed more than 30 calendar
days after the date the individual signed the enclosure
to the NCPC final notification, or more than 40 calen-
dar days after his/her receipt of the notification in the
event the individual refused to sign the enclosure to
the notification, or after the limiting date set for fil-
ing an appeal in the grant of an extension, shall, in the
absence of good cause shown, be rejected as untime-
ly. The PSAB shall be the sole determiner whether
good cause has been shown for the delay in submitting
the appeal.
h. Requests for extensions shall be granted
only for good cause shown, and the determination whe-
22B-2
ther good cause for the extension has been shown shall
be made by the President unless he/she submits the
issue to the PSAB. The decision on the extension shall
then be based on a majority of the votes cast, and the
decision whether good cause has been shown shall be
made in the same manner as a decision on the merits
of the appeal. Only sitting members may vote on an
extension. The PSAB shall be the sole determiner
whether good cause has been shown. The President or,
in his/her absence, the alternate shall sign approvals/
denials of requests for extensions of time in which to
file appeals. Submission of a request for an extension
does not authorize a delay in the filing of an appeal
beyond the normal time limits. The individual shall be
notified of the decision on his/her request for an ex-
tension via the commanding officer.
F. EFFECT OF FAILURE TO APPEAL OR OF INDI-
CATION OF AN INTENT NOT TO APPEAL. Failure of
an individual to submit a timely appeal to the PSAB or
completion of the enclosure to the notification of
NCPC's decision indicating an intent not to appeal that
decision shall result in the NCPC action becoming the
final decision of the Department of the Navy on the
adverse personnel security determination.
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OPNAV INST 5510.1G
0 APR 1984
?
EXHIBIT 22C
ADJUDICATION GUIDELINES
INTRODUCTION
The following guidelines have been developed to assist personnel security adjudicators in making determinations with
respect to an individual's eligibility for assignment to sensitive duties or access to classified information.
While equity demands reasonable consistency in evaluating individual cases, the nature and complexities of human be-
havior preclude the development of a single formula that is equally applicable in every personnel security case.
Accordingly, the guidelines are not intended nor should they be interpreted as being hard and inflexible rules of pro-
cedure. On the contrary, the guidelines are intentionally broad and general, demanding continued dependence on the
adjudicator's sound judgment, mature thinking, and careful analysis. Each case must be weighed on its own merits,
taking into consideration all relevant factors, and prior experience in similar cases.
Each adjudication is to be an overall commonsense determination based upon consideration and assessment of all
available information, both favorable and unfavorable, with particular emphasis being placed on the nature, serious-
ness, recency, and frequency of and motivation for the individual's conduct; the individual's age, the extent to which
conduct was voluntary and undertaken with knowledge of the circumstances involved; and, to the extent that it can be
estimated, the probability that conduct will or will not continue in the future. In all adjudications the protection of
the national security shall be the paramount determinant. In the last analysis the final decision in each case must be
arrived at by applying the standard that the issuance of clearance or assignment to sensitive duties is clearly consis-
tent with the interests of national security.
22C-1
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OPNAVINST 5510.1G ?11.
20 APR 1984
FINANCIAL IRRESPONSIBILITY
Basis: Failure to meet just and avoidable financial obligations voluntarily incurred._
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. History of bad debts and unmanageable indebtedness.
2. Recent bankruptcy with continuing financial problems.
3. Indebtedness aggravated or caused by gambling, alcohol, drug abuse, or mental or emotional defects.
4. A history or pattern of writing checks not covered by sufficient funds.
5. Unfavorable judgments, liens, or repossessions.
6. Deceit or deception, embezzlement, or change of address without advising creditors.
7. Indifference to financial obligations or a stated intention not to meet these obligations in the future.
8. Financial mismanagement or irresponsible expenditures that exceed income or other assets.
Mitigating Factors:
1. Systematic efforts to satisfy creditors.
2. Favorable change in financial habits.
3. Stable employment record and favorable references.
4. Circumstances beyond the individual's control contributing to indebtedness; e.g., major illness, debilitation,
decrease or cutoff of income, and indebtedness due to court order.
5. Business-related bankruptcy.
22C-2
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11.
?PRAY INST 5510.1G
20 APR 1984
? CRIMINAL CONDUCT
Basis: Any criminal violation of a federal, state, or local law.
Factors Which May be Considered in Determining Whether to Deny or Revoke a Clearance:
1. Criminal conduct involving:
a. Force, coercion, or intimidation.
b. Firearms or explosives.
c. Dishonesty or false statements.
d. Obstruction or corruption of government functions.
e. Deprivation of civil rights.
f. Violence against persons or property.
2. Criminal conduct punishable by confinement for 1 year or more.
3. An established pattern of criminal conduct.
4. Failure to complete a rehabilitation program resulting from disposition of a criminal proceeding.
5. Criminal conduct that is so recent in time as to preclude a determination that recurrence is unlikely.
6. Close and continuing association with persons known to be involved in criminal activities.
7. Criminal conduct indicative of a serious mental aberration, lack of remorse, or insufficient probability of
rehabilitative success.
8. Disposition
a. Conviction.
b. Disposition on a legal issue not going to the merits of the crime.
c. Arrest or indictment pending trial.
9. Arrest record. In evaluating an arrest record, information that indicates that the individual was acquitted,
that the charges were dropped or the subject of a stet or nolle prosequi, that the record was expunged, or that the
case was dismissed due to error not going to the merits does not necessarily negate the security significance of the
indictment. Personnel security determinations are to be made on the basis of all available information concerning a
person's conduct and actions rather than the legal outcome of a criminal proceeding.
Mitigating Factors:
1. Immaturity of the individual at the time of the offense.
2. Extenuating circumstances of the offense.
3. Circumstances indicating that the actual offense was less serious than the offense charged.
4. Isolated nature of the conduct.
5. Conduct occurring only in the distant past (such as, more than 5 years in the past) in the absence of subsequent
criminal conduct. ,
6. Transitory conditions contributing to the conduct (such as, divorce action, death in the family) in the absence
of subsequent criminal conduct.
22C-3
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OPNAV I NST 5510.1G
2 0 APR 1984
SEXUAL MISCONDUCT
Basis: Sexual behavior that makes applicable the guidance for criminal misconduct or mental or emotional illness,
or which indicates that the applicant may be subjected to coercion, pressure, or influence to act contrary
to the interests of the United States or which suggests recklessness, irresponsibility, or poor judgment.
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. The misconduct has been recent or frequent.
2. The applicant indicates explicitly or implicitly an intention to repeat the misconduct.
3. The applicant appears to be susceptible to blackmail.
4. The misconduct involves:
a. Open or public behavior;
b. A person under the age of 18;
c. Inducement or coercion by force or intimidation of another person;
d. Prostitution;
e. Sexual harassment.
Mitigating Factors:
1. Sexual misconduct on a limited number of occasions during or preceding adolescence, with no evidence of
subsequent misconduct, and clear indication that the individual has no intention of participating in sexual misconduct
in the future.
2. Activity occurred more than 3 years ago.
3. Subject does not appear to be susceptible to blackmail.
4. The applicant was a minor involved in an incestuous relationship.
22C-4
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OPNAVINST 5510.1G
20 APR 1984
.dr
MENTAL OR EMOTIONAL ILLNESS
Basis: An abnormal mental condition that may cause a significant defect in the judgment or reliability of the
individual concerned.
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. Conduct reflecting abnormal behavior indicative of mental illness even though there is no confirming medical
history.
2. Refusal by the individual concerned to furnish medical information or to allow medical information to be
obtained for the purpose of determining the significance of bizarre behavior or conduct.
3. Documented spouse or child abuse.
4. Diagnosis by competent medical authority that an earlier incapacitating mental illness is of a type that has a
high incidence of recurrence even though the individual concerned currently manifests no symptoms of mental or
emotional illness.
Mitigating Factors:
1. No evidence of a psychotic condition for the past 20 years, a serious or disabling neurotic disorder for the past
10 years, or a serious character or personality disorder for the past 10 years.
2. Medical records and physician interview reflect that the person's illness or condition has not caused a
significant defect in judgment or reliability.
3. The factor(s) causing the mental condition have been rectified.
4. Testimony of medical authority that continued maintenance of prescribed medication is likely to preclude
recurrence of a condition effecting a significant defect in judgment or reliability.
22C-5
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OPNAVINST 5510.1G
2 0 APR 1984
Basis:
HOSTAGE AND FOREIGN CONNECTIONS
An applicant who has immediate family members or other persons to whom he or she is bound by affection
or obligation residing in a communist country or other countries currently hostile to the United
States. These countries are of two categories:
Category I.
Category II.
Countries which, based on current assessment of the U.S. Intelligence Community, possess an
intelligence organization with a demonstrated capability of recruiting and exploiting U.S. personnel
for intelligence purposes.
Countries which, although having national intelligence objectives inimical to the United States, do
not have the capability of exploiting U.S. personnel for intelligence purposes or have not undertaken
to target U.S. personnel for such purposes, but which may support such activities by non-indigenous
intelligence services. These countries are:
CATEGORY I
Albania
Bulgaria
People's Republic of China
Cuba
Czechoslovakia
German Democratic Republic
Hungary
Iran
Libyan Arab Republic
North Korea
Poland
Rumania
USSR-including Estonia, Latvia
and Lithuania
Vietnam
Yugoslavia
CATEGORY II
Afghanistan
Angola
Kampuchea (Cambodia)
Ethiopia
Iraq
Laos
Nicaragua
Outer Mongolia
People's Democratic Republic
of Yemen
Syria
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. Residence of a member of immediate family or a person to whom the individual is bound by affection or
obligation in a Category I country.
2. Travel, correspondence, or financial aid to Category I or Category II countries on a regular basis without
satisfactory explanation.
3. Dating or cohabiting with a foreign national from a Category I country.
Mitigating Factors:
1. Individual has a member of his or her immediate family or person to whom they are bound by affection or
obligation in a Category II country.
2. Individual's personal or financial interest in the U.S. appears sufficient to counter any potential pressure that
might be brought to bear, such as, home owner with strong civic and community ties.
22C-6
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OPNAVINST 5510.1G
20 APR 1984
?
SUBVERSIVE ACTIVITY
Basis: Unlawfully advocating or practicing the commission of acts of force or violence either to prevent others
from exercising their rights under the Constitution or laws of the United States, or to overthrow or alter
the form of Government of the United States by unconstitutional means. Knowing membership with the
specific intent of furthering the aims of, or adherence to and active participation in, any foreign or domes-
tic organization, association, movement, group, or combination of persons that support the above-cited
activities.
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. Organization has been characterized by the Department of Justice as one which meets the above-cited
criteria.
2. Participation in acts that involve force or violence to prevent others from exercising their rights under the
Constitution or to overthrow or alter the form of Government of the United States.
3. Monetary contributions, service, or other support of the organization with the intent of furthering the unlawful
objectives of the organization.
4. Deliberate misrepresentation of association with the organization.
5. Evidence of continuing sympathy with the unlawful aims and objectives of the organization..
6. Holding a position of major doctrinal or managerial influence in the organization.
Mitigating Factors:
1. Lack of understanding of the unlawful aims or objectives of the organization.
2. Staleness of affiliation or activity.
3. Temporary affiliation out of curiosity or academic interest.
4. Sympathy or support limited to the stated, lawful objectives Of the organization.
5. Immaturity at the time of conduct.
22C-7
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OPNAVINST 5510.1G
20 APR 1984
ALCOHOL ABUSE
Basis: The consumption of alcohol on an episodic or recurring basis that results in impairment of the individual's
ability to perform assigned duties or to safeguard classified information adequately.
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. Use of alcohol which results in behavior that adversely affects a person's judgment, reliability or discretion.
2. Repeated alcohol-related incidents.
3. Alcohol consumption resulting in the deterioration of the individual's physical health, as determined by
competent medical authority.
Mitigating Factors:
1. Successfully undergoing recognized treatment program or completion of such a program.
2. Individual has discontinued alcohol abuse for at least 2 years.
?
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?
?
OPNAV INST 5 5 10 . 1G
20 APR 1984
DRUG ABUSE
Basis: Thq illegal or improper use of any psychoactive substance to include any narcotic,1 dangerous drug2 or
Cannabis.?
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. Experimental abuse4 of any narcotic or dangerous drug within the past 12 months.
2. Occasional abuse5 of any narcotic or dangerous drug within the last 3 years.
3. Regular abuse6 or addiction7 to any narcotic or dangerous drug within the last 5 years.
4. Regular abuse of Cannabis within the last 12 months.
5. Illegal trafficking, cultivation, processing, manufacture, sale, distribution or purchase of any narcotic,
dangerous drug, or Cannabis whether or not the individual was arrested for such activity.
6. Information that the individual intends to continue to use (regardless of frequency) any narcotic, dangerous
drug, or Cannabis.
Mitigating Factors:
1. Individual has abstained from the illegal or improper use of any narcotic or dangerous drug for at least 3 years
and:
a. Appears to have a stable lifestyle, including a satisfactory employment record; and
b. States that he or she will not use narcotics or dangerous drugs in the future.
2. Experimental abuse of narcotics or dangerous drugs occurred more than 12 months ago, there is no subsequent
indication of drug abuse, and the individual has stated intention not to abuse such drugs in the future.
3. Abuse of Cannabis occurred more than 12 months ago and the individual has indicated intention not to use or
possess Cannabis in the future.
4. Experimental or occasional abuse of Cannabis within the past 12 months provided the individual has:
a. Not evidenced any indications of physical8 or psychological dependence9;
b. Has had not more than one drug-related arrest within the past 2 years; and
c. Has a stable lifestyle, including a satisfactory employment record.
1. Narcotic. Opium and opium derivatives or synthetic substitutes.
2. Dangerous Drug. Any of the nonnarcotic drugs which are habit forming or have a potential for abuse because
of their stimulant, depressant or hallucinogenic effect.
3. Cannabis. The intoxicating products of the hemp plant, Cannabis Sativa, including but not limited to
marijuana, hashish, and hashish oil.
4. Experimental Abuse. Abuse occurring not more than a few times for reasons of curiosity, peer pressure, or
other similar reasons.
5. Occasional Abuse. Recurrrent but infrequent abuse of drugs; no consistent pattern of drug abuse.
6. Regular Abuse. Drug abuse on a frequent recurrent basis to the point of habituation.
7. Addiction. Psychological or physical dependency to the point of compulsive use.
8. Physical Dependence. The adaptive alteration in the body produced by the prolonged use of a psychoactive
substance, which results in withdrawal symptoms when the substance's use is stopped.
9. Psychological Dependency. The craving for the pleasurable mental or emotional effects of a psychoactive
substance and the desire for this drug-induced state in preference to the normal state such that repeated use is seen
as necessary for well-being.
22C-9
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OPNAV INST 5510.1G
20 APR MN
SECURITY VIOLATIONS
Basis: Failure to comply with policies and procedures established for the purpose of safeguarding classified
information.
Factors Which May be Considered in Determining Whether to Deny or Revoke Clearance:
1. Intentional disclosure of classified information to unauthorized persons.
2. Deliberate disregard of security regulations which results in the compromise of classified information.
3. Recent deliberate violations of security regulations, such as, taking classified information home or carrying
classified while in a travel status without proper authorization.
4. Nondeliberate security violations which indicate a pattern of negligence or carelessness.
Mitigating Factors:
1. Violation of security procedures was caused or contributed to by an improper or inadequate security briefing.
2. Individual is personally responsible for a large volume of classified information and the violation was
administrative in nature, such as inaccurate entry on document log or certificate of destruction.
22C-10
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IIP OPNAVINST 5510.10
20 APR 1984
CHAPTER 23
CLEARANCE
23-1 BASIC POLICY
1. As a general rule, personnel security determina-
tions are expressed in terms of eligibility for access to
classified information - security clearance. (See para-
graph 22-4 for instances when security clearance ac-
tion is inappropriate.) A security clearance indicates
that the person concerned is eligible for access to
classified information should his or her official duties
require it. The decision to grant access to classified
information is a separate determination based on a
need to know (see chapter 24.)
2. Security clearance will be granted only upon affir-
mation that clearance is clearly consistent with the
interests of national security. Investigative require-
ments for each level of clearance are specified in
chapter 21.
3. Citizenship status will be verified before a security
clearance is granted. (See paragraph 20-5.)
23-2 CLEARANCE ELIGIBILITY
1. Eligibility for security clearance is, as a general
rule, limited to members of the Executive Branch of
the Government, or employees of Department of
Defense contractors under the Industrial Security Pro-
gram, who are US. citizens, US. nationals or immi-
grant aliens. (See paragraph 22-7 for reciprocal ac-
ceptance of clearances within the Executive Branch of
the Government.)
2. Individuals outside the Executive Branch of the
Government and foreign nationals (except for certain
Philippine nationals), even though employed by the De-
partment of the Navy, are not eligible for and will not
be granted security clearances. Under some circum-
stances, however, the Chief of Naval Operations (Op-
009P) may grant Limited Access Authorization under
the provisions of paragraph 24-5.
3. Immigrant aliens are eligible for Confidential or
Secret clearance subject to the access restrictions of
paragraph 24-2. They are not eligible for Top Secret
clearance. Immigrant aliens, therefore, are not eligi-
ble for civilian critical-sensitive positions which
require access to Top Secret information, nor may
they be granted emergency access to any classified in-
formation under the provisions of paragraph 24-4.
4. As the only exception to the rule that foreign na-
tionals may not be granted security clearances, Phil-
ippine nonimmigrant aliens on active duty with the
Navy, because of their unique position as the only fo-
reign nationals allowed to enter the Armed Forces in
peacetime, may be granted Confidential clearances
(see paragraph 21-6 for investigative requirements and
paragraph 24-2 for restrictions on Confidential ac-
cess). This exception does not apply to Philippine
nationals employed by the Navy in a civilian status.
23-1
5. Reserve personnel in an "active status" (see ap-
pendix B for definition) are eligible for security
clearances, as required. Retired personnel and Re-
serve personnel in an inactive status are not consid-
ered to be members of the Executive Branch of the
Government and, therefore, are not eligible for clear-
ance. They may, however, be eligible for Limited
Access Authorization by the Chief of Naval Operations
(0p-009P) (see paragraph 24-7).
6. Members of Congress, by virtue of their elected
status, do not require security clearances but members
of Congressional staffs are cleared, as necessary, for
access to Department of Defense classified informa-
tion. Records of their clearances are held by the Se-
curity Division, Washington Headquarters Services,
Department of Defense.
23-3 INTERIM AND FINAL CLEARANCES
1. Security clearances are of two types:
a. Final clearance - one granted upon completion
of all investigative requirements as set forth in chap-
ter 21.
b. Interim clearance - one granted temporarily,
based on the lesser requirement set forth in chapter
21, pending completion of the full investigative
requirements.
2. Interim clearances are effective for 6 months. In-
vestigation required to effect a final clearance must
be requested at the time interim clearance is granted
as a condition of the interim clearance. An interim
clearance may be extended in 6 month increments if
tracer action (see paragraph 21-16) confirms that the
investigation is still pending. Document the extension
on OPNAV Form 5520/20. A final clearance will be
executed upon satisfactory completion of the investi-
gation. (See also paragraph 24-4 on emergency
access.)
23-4 GRANTING AND RECORDING CLEARANCE
1. Upon receipt of a completed personnel security
investigation (including Periodic Reinvestigation), ad-
judicate the results, considered with all other informa-
tion available on the individual, and make a personnel
security determination to grant or deny clearance (see
paragraph 22-4 for exceptions). Record the action on
the Certificate of Personnel Security Investigation,
Clearance and Access (OPNAV Form 5520/20). (See
exhibit 22A.)
2. Clearance will be granted for the highest level of
classification the investigation supports (i.e., Secret
for an ENTNAC, NAC or NA CI; Top Secret for a BI or
SBI) with the following exceptions:
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IIP
OPNAVINST 5510.1G
a. When unfavorable information disclosed in the
investigation or known to the determining authority
results in an adverse personnel security determination,
clearance will be denied or granted at a lower level.
Make an entry in the Comments section of the OPNAV
Form 5520/20 referring to the correspondence or loca-
tion in the personnel record or command records where
the basis for the adverse determination is document-
ed. (See paragraph 22-6 for adverse personnel security
action procedures and paragraph 23-9 for reports re-
quired for adverse personnel security determinations.)
b. Clearance will not be granted nor will a certifi-
cate be executed to record the NACI for a civilian in a
nonsensitive position. If an individual moves from a
nonsensitive position to a position requiring access or
involving sensitive duties, a personnel security deter-
mination is required under the procedures established
by NCPCINST 5521.1, reference (cc), before a certifi-
cate may be executed.
c. Immigrant aliens will not be granted Top Secret
clearance. Annotate the certificate, in the Comments
section, "Immigrant Alien - not eligible for Top Secret
clearance." (See exhibit 22A for entries regarding
access limitations.) Interim clearance is not author-
ized for Secret but may be granted for Confidential in
an emergency situation upon completion of a satisfac-
tory NACI, NAC or ENTNAC, if the Background Inves-
tigation has been requested and a personal interview of
the subject has been conducted by an investigator or
counterintelligence specialist, or by the commanding
officer, executive officer, or security manager with
favorable results.
d. Philippine nonimmigrant aliens on active duty
with the Navy will not be granted clearance for a level
of classification higher than Confidential. Annotate
the certificate, in the Comments section, "Philippine
nonimmigrant alien." (See exhibit 22A for entries
regarding access restrictions.) Interim clearance,
pending completion of the Background Investigation, is
not authorized.
3. Record interim clearance, as such, in the same
manner as final. When interim clearance is based on
other than an investigation, indicate the basis for the
clearance.
4. Entries on OPNAV Form 5520/20 must be signed by
the commanding officer or other designated clearance
authority. (The investigative requirement of para-
graph 21-12.1b applies to all clearance authorities.)
5. Certificates of Personnel Security Clearance (OP-
NAV Form 5521/429), issued before 1 July 1979, are
acceptable if there has been no investigative, clear-
ance or access action since 1 July 1979. After that
date, an OPNAV Form 5520/20 must be prepared if
there is an investigative, clearance or access action.
(As noted in paragraph 24-2, access is automatically
terminated upon transfer of an individual, so any
access granted after 1 July 1979 would make prepara-
tion of OPNAV Form 5520/20 mandatory, even if the
access were recorded on some other medium.) When
23-2
clearance data are transcribed from the OPNAV Form
5521/429 or other clearance certification, the clear-
ance will be issued with a current date and the entry
signed by the commanding officer or other clearance
authority for the command preparing the OPNAV Form
5520/20. The clearance entered will be for the highest
level the investigation will support, subject to the
provisions of subparagraph 2 above, if it is apparent by
the absence of unfavorable information that the origi-
nal clearance was issued at the lower level without
prejudice to the individual. In each case, annotate the
Comments section: "Transcribed from (CO USS NE-
VERSAIL) certificate of clearance of (date)". Detailed
instructions on completing the OPNAV Form 5520/20
are in exhibit 22A.
6. The Special Security Officer or Special Access Pro-
gram Officer will advise the commanding officer when
a final favorable determination of eligibility for access
to sensitive compartmented information (SCI), or other
Department of the Navy Special Access program, is
received from Commander, Naval Intelligence Com-
mand or Commander, Naval Security Group Com-
mand. Notification of a final favorable adjudication
for SCI access will be accepted as sufficient justifica-
tion for issuing a final Top Secret clearance. The
security manager will ensure that the investigation and
clearance are recorded on the Certificate of Personnel
Security Investigation, Clearance and Access. When
an unfavorable SCI determination is made, COMNAV-
INTCOM or COMNAVSECGRU forwards the investiga-
tion to Commander, Naval Military Personnel Com-
mand (Navy personnel), Director, Naval Civilian
Personnel Command (civilian personnel), or Com-
mandant of the Marine Corps (Marine Corps personnel)
for review and adjudication. The commanding officer
will then be advised of the clearance determination.
7. Navy and Marine Corps Reservists in an "active
status" may be granted clearance as necessary. Clear-
ances for Reservists are issued under the same proced-
ures and conditions as those for active duty personnel,
except that the authority to grant security clearances
to Reservists is restricted to active duty commanding
officers or commands supported by full-time active
duty officers. Normally, the clearance authority will
be either the command holding the service record and
exercising administrative jurisdiction over the Reserv-
ist or the active duty sponsoring command. (See para-
graph 24-6 for authority to grant access.) Inactive
duty commanding officers (except those supported by
full-time active duty officers) are not authorized to
grant security clearances.
8. The clearance for a member of the Department of
the Navy assigned to another service or component of
the Department of Defense (see paragraph 22-7) will
be processed by the authority described below, who
will ensure that appropriate clearance is issued and the
user activity notified:
a. Naval personnel
(1) Officers - if no Navy activity or other
competent authority has been designated to grant se-
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11. W OPNAVINST 5510.1G
20 APR 1984
?
curity clearances for naval officers assigned to the
user activity, the Commander, Naval Military Person-
nel Command will take the necessary action.
(2) Enlisted - the command holding the indivi-
dual's service record.
b. Marine Corps personnel - the command holding
the individual's service record.
c. Civilian personnel - the Department of the
Navy command having administrative control of the
individual.
9. Place the Certificate of Personnel Security Investi-
gation, Clearance and Access in the individual's offi-
cial personnel record (the right side of the civilian
Official Personnel Folder) and retain it as a perma-
nent, cumulative part of the individual's official
record. If the form has been completely filled in, pre-
pare an additional form and attach it to the original.
The signature of the authorizing official - the com-
manding officer or other designated clearance author-
ity - and the name of the command making the entry
are required for each clearance action. Facsimile or
carbon signatures are not authorized. Each time a
completed investigation or final clearance action is
entered, send a signed copy (reproduction or duplicate)
to the Naval Military Personnel Command (NMPC 81)
for Navy members, or to the Commandant of the Ma-
rine Corps (Code MSRB) for Marine Corps members.
NMPC and CMC don't require a copy of Part IV -
Record of Access.
10. The original certificate will not be released to the
subject; however, the certificate will not be removed
on those occasions when military personnel are direct-
ed to carry their service records. If a copy is given to
the subject at his or her request, annotate it: "This
copy provided to the subject. It shall not be accepted
for any official purposes."
23-5 COMMANDING OFFICER CLEARANCE
1. Each commanding officer must have a security
clearance for the level necessary at the command.
Normally, the commanding officer being relieved will
review the records of the relieving commanding offi-
cer and ensure that a security clearance has been
granted for the appropriate level. If the incoming
commanding officer does not have the required clear-
ance, the commanding officer being relieved or, in his
or her absence, the next senior in the chain of com-
mand will grant the clearance.
2. If the investigation for the level of clearance re-
quired has not been conducted, the request for investi-
gation is to be submitted by the next senior in the
chain of command.
23-6 CLEARANCE UNDER THE DEPARTMENT OF
DEFENSE INDUSTRIAL SECURITY PROGRAM
1. Under the Department of Defense Industrial Secur-
ity Program, employees of industrial, educational and
commercial entities (hereafter called contractors) may
23-3
be cleared for access to classified information when
access is essential to the accomplishment of a neces-
sary function in the interest of promoting the national
security. As a general rule, a contractor must be
granted a facility clearance, in accordance with the
DOD Industrial Security Regulation, reference (f), be-
fore employees may be processed for security clear-
ance. Facility clearances and personnel security
clearances are processed in accordance with reference
(f) and are issued by the Defense Industrial Security
Clearance Office (DISCO).
2. There is also a provision in reference (f) for con-
tractors with classified Government contracts to issue
Confidential clearances to their U.S. citizen employ-
ees. The contractor-issued Confidential clearance is
valid and will be accepted as the basis for access to
DOD classified information except Restricted Data,
cryptographic information, communications intelli-
gence and NATO information. Neither DISCO nor the
Defense Cognizant Security Office will have the re-
cords to verify contractor-issued Confidential
clearances.
23-7 NATO SECURITY CLEARANCES
1. A final United States security clearance, for the
equivalent level of classification, is the basis for ac-
cess to NATO classified information. (Clearance is no
longer required for NATO Restricted information.)
Additional certification of clearance is required only
when personnel travel overseas to confer with officials
of a foreign government or with NATO commands or
contractors and the visit will involve access to NATO
classified information or when personnel are assigned
to permanent billets at NATO commands.
2. When additional certification of security clearance
is required, use the appropriate format from appendix
E or F of OP NAVINST C5510.101, reference (a).
Security clearance for permanent assignment to a
NATO command must be based on the investigative
requirements of paragraph 21-9.
3. Interim clearances may not be used as the basis for
access to NATO information except under emergency
conditions requiring immediate action in furtherance
of a United States or NATO purpose. If the "emer-
gency situation" option is used, report the action
immediately to the Central U.S. Registry via the Chief
of Naval Operations (0p-009P).
23-8 ADMINISTRATIVE WITHDRAWAL OF CLEAR-
ANCE
1. The security clearance of an individual will not be
administratively withdrawn unless there is no foresee-
able need for access to classified information in con-
nection with his or her official duties or contractual
obligations. "No foreseeable need" is construed to
mean that, given the individual's career or employment
pattern, he or she does not now and is not likely to re-
quire, in the future, access to classified information or
assignment to sensitive duties. The determination of
foreseeable need is not to be limited to consideration
of the individual's current need for access.
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OPNAVINST 5510.1G
20 APR 1984
2. When a security clearance is administratively
withdrawn, annotate the OPNAV Form 5520/20, in the
Comments section, to show that the action was taken
administratively and without prejudice to the individ-
ual's future eligibility for access. A security clear-
ance is never administratively withdrawn or lowered in
level for cause. An adverse personnel security deter-
mination will result in denial or revocation of clear-
ance (see paragraph 23-9).
3. When an immigrant alien, who has not become na-
turalized in the period specified in paragraph 20-4,
reverts to foreign national status for security pur-
poses, administratively withdraw any clearance held
and annotate the certificate.
4. When a security clearance is administratively with-
drawn, OPNAV Form 5520/20, with its appropriate an-
notation, remains in the official personnel record. A
copy will be sent to Commander, Naval Military Per-
sonnel Command (NMPC 81) or Commandant of the
Marine Corps (MSRB).
5. When a clearance is administratively withdrawn,
debrief the individual in accordance with paragraph 3-
11. File the executed Security Termination Statement
insthe official personnel record.
23-0 DENIAL OR REVOCATION OF CLEARANCE
FOR CAUSE
1. When a personnel security determination has been
made that an individual does not meet or no longer
meets the criteria for security clearance in paragraph
22-2, clearance will be denied or revoked for cause by
the determining authority (the commanding officer for
military personnel, the Director, Naval Civilian Per-
sonnel Command for civilian personnel).
2. Denial or revocation of security clearance for
cause is an adverse personnel security determination,
as described in paragraph 22-5 and the adverse action
procedures in paragraph 22-6 must be followed. Anno-
tate Part III of OPNAV Form 5520/20 "Denied", or in
red overwriting, "REVOKED" with reference to the
23-4
letter of denial or revocation. (See also paragraph 22-
5 for other adverse personnel security determina-
tions.) On revocations, debrief the individual, in
accordance with paragraph 3-11, and file the Security
Termination Statement in the official personnel
record.
3. A decision to grant clearance at a lower level of
classification than the investigation would support is,
in effect, a decision to deny clearance for the higher
level, and is an adverse personnel security determina-
tion. Annotate the certificate that the individual is
not eligible for access to the higher classification,
with reference to the letter of denial.
4. Detailed instructions for processing cases of denial
or revocation (or those exceptional cases where an ad-
verse personnel security determination is not express-
ed in terms of clearance) will be provided by Com-
mander, Naval Military Personnel Command for Navy
personnel, Commandant of the Marine Corps for Ma-
rine Corps personnel and Director, Naval Civilian
Personnel Command for civilian employees of the
Navy and Marine Corps. In any case where the denial
or revocation is based on information in an investiga-
tion done by the Defense Investigative Service, you
must advise DIS, in addition to any other reporting
requirements.
5. A security clearance, previously denied or revoked
for cause, may be reinstated when it is determined
that the individual now meets the criteria for clear-
ance and a need for clearance exists. The concurrence
of the Commander, Naval Military Personnel Com-
mand is required before initiating action to reinstate
clearance for a Navy member. For a Marine Corps
member, the commanding officer may reinstate clear-
ance without prior concurrence of the Commandant of
the Marine Corps. For civilian personnel, a recom-
mendation to grant or reinstate security clearance
must be submitted to the Director, Naval Civilian
Personnel Command for consideration. A recommen-
dation would not be appropriate until at least 12
months after final NCPC or Personnel Security Ap-
peals Board action.
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CHAPTER 24
ACCESS
24-1 BASIC POLICY
1. The Department of Defense employs a security for-
mula based on the simple principle of circulation con-
trol, i.e., control of access to classified information.
Knowledge or possession of classified information is
permitted only for individuals whose official duties
require access in the interest of promoting national
security and only if they have been determined to be
eligible for access.
2. No one has a right to have access to classified in-
formation solely because of rank, position or security
clearance. The final responsibility for determining
whether a person's official duties require access to any
element or item of classified information (the "need to
know"), and whether he or she has been granted the ap-
propriate security clearance by proper authority, rests
upon the individual who has the authorized possession,
knowledge or control of the information involved and
not upon the prospective recipient.
3. These principles are equally applicable if the pros-
pective recipient is an organizational entity, including
commands, other Federal agencies, defense contrac-
tors, foreign governments, and others.
4. Commanding officers will ensure that personnel
under their jurisdiction are briefed in accordance with
chapter 3 before granting access to classified infor-
mation.
24-2 GRANTING ACCESS
1. The ultimate authority for granting access to
classified information rests with the commanding offi-
cer who is responsible for the security of the informa-
tion or material in his command. A commanding offi-
cer may grant access to classified information to an
individual who has an official need to know, has a valid
security clearance and about whom there is no locally
available disqualifying information. (See chapter 18
for access by various categories of visitors.)
2. The authority of a commanding officer to grant
access to classified information is subject to the
following restrictions:
a. Immigrant aliens will not be granted access to
foreign intelligence information without approval of
the originating agency (see chapter 12), to COMSEC
keying material classified higher than Confidential, to
naval nuclear propulsion information (NNPI), to cryp-
tographic information, to SCI, SIOP-ESI, or to NATO
information.
b. Philippine nonimmigrant aliens on active duty
with the Navy, who have been granted Confidential
clearance under the provisions of paragraph 23-2, will
not be authorized access to foreign intelligence infor-
mation without approval of the originating agency (see
chapter 12), to naval nuclear propulsion information,
24-1
OPNAV INST 5510 . 1G
20 APR 1984
(NNPI) communications analysis, COMSEC, SCI, SIOP-
ESI, or NATO information,
e. DOD contractor employees holding only con-
tractor-issued Confidential clearances will not be
granted access to Restricted Data, cryptographic in-
formation, communications intelligence, or NATO
Confidential information. (Other restrictions on DOD
contractors for access to foreign intelligence are
described in chapter 12.)
d. Individuals who have been granted Limited
Access Authorizations by the Chief of Naval Opera-
tions (0p-009P) (see paragraph 24-5) will not be
allowed to have access to any classified information
beyond that specifically authorized.
e. The degree of access by representatives of
foreign governments, including Personnel Exchange
Program personnel (PEP), will be scrupulously limited
to that allowed by the Foreign Disclosure Authoriza-
tion issued by the Chief of Naval Operations (0p-62)
on a case-by-case basis.
3. The steps to be taken in granting access to a mem-
ber of the command are:
a. Determine the level of access necessary for the
individual to perform his or her official duties (need to
know).
b. Check the individual's official personnel record
and determine whether he or she has the proper clear-
ance. (If not, take the appropriate action as required
by Chapter 21.)
c. Review records available in the-command for
disqualifying information. (See Chapter 21 on prohi-
bition against conducting public inquiries.)
d. If the individual has the proper clearance and
no disqualifying information, grant the access and
record it.
4. As granting access is a command responsibility, ac-
cess is terminated automatically when the individual
transfers from the command, is discharged or separa-
ted from Federal service. It is also terminated when a
security clearance is withdrawn, denied, or revoked for
cause. (The Security Termination Statement is not
executed upon termination of access alone. See para-
graph 3-11 for requirements for executing the Security
Termination Statement.)
5. When questionable or unfavorable information be-
comes available on an individual who has been granted
access, the commanding officer may decide to restrict
or suspend access. Restriction or suspension of access
for cause may only be used as a temporary measure
until the individual's eligibility for access has been
resolved.
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OPNAV INST 5510.1G
20 APR 1984
24-3 RECORDING ACCESS
1. The access granted by a command must be record-
ed, preferably on the Certificate of Personnel Security
Investigation, Clearance and Access (OPNAV Form
5520/20) in accordance with the detailed instructions
in exhibit 22A. Access entries will be signed by the
commanding officer or designated representative. Ad-
just the access required, and the record, as necessary
to reflect current need. A record is required for the
level of classification for which there is a need to
know, and for programs which require that access be
formally granted (SIOP-ESI, NATO, CNWDI, SCI).
There is no need to record the commanding officer's
access except for those programs noted above which
require that access be formally granted. Commander,
Naval Military Personnel Command and Commandant
of the Marine Corps do not require copies of entries in
Part IV - Record of Access on the OPNAV Form 5520/
20. Certificates are not to be executed for the sole
purpose of recording access granted to visitors, per-
sons on TAD, Reservists on active duty for training, or
those with Limited Access Authorization.
2. The commanding officer will ensure that the res-
trictions on access listed in paragraph 24-2.2a and b
above are entered in the Comments section of OPNAV
Form 5520/20 for any member of the command to
whom they apply.
24-4 EMERGENCY ACCESS
1. When an individual requires access to classified in-
formation and the investigative requirements for
security clearance have not been met, the commanding
officer may authorize emergency access under the fol-
lowing conditions:
a. The procedures necessary for clearance have
been initiated.
b. Awaiting completion of the investigative re-
quirements will cause a crucial delay in the training or
assignment of personnel.
c. Interim clearance procedures do not apply.
d. Immediately available records have been re-
viewed and the individual is otherwise eligible for the
access required.
2. Access will not be granted, under the authority of
this paragraph, to non-U.S. citizens; to civilian ap-
pointees to critical-sensitive positions; to civilian em-
ployees and military personnel selected to attend any
nuclear weapons course which includes access to Top
Secret or Secret Restricted Data nuclear weapon de-
sign information; or for any person or program for
which a final clearance is a requisite.
3. Action under authority of this paragraph does not
include granting clearance; therefore, an entry will not
be made in Part III of the Certificate of Personnel Se-
curity Investigation, Clearance and Access. The com-
manding officer granting emergency access will make
a written record of the authorization, with the reasons
for the determination of crucial delay, and the access
24-2
granted will be entered in Part IV of the certificate.
As granting emergency access constitutes a waiver of
investigative requirements, the commanding officer is
required to maintain records of such waivers in
accordance with paragraph 20-7.
24-5 LIMITED ACCESS AUTHORIZATION
1. When a commanding officer considers that it would
be in the interest of national security to grant access
to classified information, for which he or she is res-
ponsible, to an individual who is outside the Executive
Branch of the Government, or otherwise not eligible
for a security clearance, a request may be submitted
to the Chief of Naval Operations (0p-009P) for a Li-
mited Access Authorization (LAA).
2. Submit requests for Limited Access Authorization
only after due consideration of the security policy of
limiting disclosure of classified information to those
with a need to know and whose access would promote
the national security. Submit the request by letter,
stating the justification of the need for access; the
classification, nature and scope of the information;
and the period of time for which access is desired.
Accompany the request with the forms necessary for
an investigation commensurate with the classification
of the information or the citizenship status of the
individual.
3. CNO (0p-009P) will not accept requests from the
prospective recipient of the information. Access must
be sponsored by an active duty commanding officer
who will assume responsibility for briefing the indivi-
dual, limiting the access to that authorized and de-
briefing at the end of the access period.
4. Access will ibe authorized by CNO (0p-009P) only
for the specific purpose and the specific classified in-
formation stated in the request. In the case of foreign
nationals, the information must be releasable to the
country of origin (see paragraph 24-9). The authoriza-
tion will be effective for the period of time necessary
but usually not longer than two years. Physical custo-
dy of classified material normally is not allowed. A
Limited Access Authorization is not to be construed as
a security clearance or as a command-granted access
and will not be entered on the Certificate of Personnel
Security Investigation, Clearance and Access.
5. The provisions of this paragraph apply when access
is justified for inactive Reserve personnel (see para-
graph 24-6); for retired personnel (see paragraph 24-7);
for historical researchers (see paragraph 24-8); for fo-
reign nationals (see paragraph 24-9); for civilian coun-
sel in judicial proceedings (see paragraph 12-12); for
attendees at Department of the Navy-sponsored meet-
ings (see paragraph 19-6); for members of advisory
groups and for others in circumstances when access
would promote national security.
24-6 ACCESS BY RESERVE PERSONNEL
1. Reserve personnel in an "active status" (see defini-
tion in appendix B) may be granted access to classi-
fied information as necessary for active duty for train-
ing or inactive duty training, if they hold the appropri-
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ate clearance. The need for access will be determined
by the clearing authority (see paragraph 23-4) or the
authority with the information to be disclosed. Access
granted for inactive duty training will be recorded on
the Certificate of Personnel Security Investigation,
Clearance and Access.
2. "Inactive status" Reserve personnel (see definition
in appendix B) are not eligible for access to classified
information unless specifically authorized by Chief of
Naval Operations (0p-009P) under the Limited Access
Authorization procedures in paragraph 24-5. As an ex-
ception, inactive status Reserve flag or general offi-
cers may be granted access to Secret or Confidential
information, without recourse to CNO (0p-009P), when
an active duty flag or general officer determines that
access to the classified information for which he or
she is responsible will promote the national security.
3. Reserve personnel may be given access to training
editions of codes, cipher systems, authentication sys-
tems, call sign encryption systems, operating instruc-
tions, and maintenance manuals as required to main-
tain proficiency in their specialties. Access to other
COMSEC publications, listed as study material for ad-
vancement in rating, may also be granted. Additional-
ly, selected units have been authorized to have opera-
tional COMSEC material. Properly cleared inactive
duty personnel participating in unit drills with these
selected units may be given access to COMSEC mate-
rial as required in the performance of duties. Further
details are in CMS 4 (reference (j)).
24-7 ACCESS BY RETIRED PERSONNEL
1. Retired personnel, including those on the temporary
disability retired lists, are not entitled to access to
classified information merely by virtue of their pre-
sent or former status. When a commanding officer
considers that access to classified information, for
which he or she is responsible, would promote the na-
tional security, a request for a Limited Access Author-
ization may be submitted to the Chief of Naval
Operations (0p-009P) under the provisions of para-
graph 24-5.
2. As an exception to the above, an active duty flag or
general officer may grant access to Secret or Confi-
dential information for which he or she is responsible,
to a retired flag or general officer, without authoriza-
tion from CNO, when a need to know has been estab-
lished and access would promote the national security.
24-8 ACCESS BY HISTORICAL RESEARCHERS
1. Individuals outside the Executive Branch of the
Government engaged in private historical research
projects may be granted Limited Access Authorization
for classified information, under the provisions of
paragraph 24-5, if steps are taken to ensure that clas-
sified information or material is not published or
otherwise compromised.
2. Requests for access to Department of the Navy in-
formation will be processed by the Director of Naval
History, Office of the Chief of Naval Operations (Op-
09BH) or the Director of Marine Corps History and
24-3
OPNAVINST 5510.10
20 APR 1984
Museums (CMC (Code HD)), Headquarters Marine
Corps. Upon receipt of an access request, the CNO
(0p-09BH) or CMC (Code HD) will seek to declassify
the requested records. If declassification cannot be
accomplished, CNO (0p-09BH) or CMC (Code HD) will:
a. Make a written determination that access is
clearly consistent with the interests of national secur-
ity in view of the intended use of the material for
which access is requested.
b. Obtain from the applicant the investigative
forms appropriate for the level of access and submit
them with a Limited Access Authorization request to
CNO (0p-009P), who will advise whether access is au-
thorized for the specific project.
c. Limit the individual's access to specific cate-
gories of information over which the Department of
the Navy has classification jurisdiction or to informa-
tion within the scope of the historical research under
the classification jurisdiction of other DOD or non-
DOD departments or agencies, if the researcher has
obtained their written consent.
d. Retain custody of the classified information at
a DOD installation or activity or authorize access to
documents in the custody of the National Archives and
Records Service.
e. Obtain the researcher's written agreement to
safeguard the information and to submit any notes and
manuscript for review by the Department of the Navy
or other DOD or non-DOD department or agency with
classification jurisdiction, to determine that they do
not contain classified information.
3. Limited Access Authorizations are valid for not
more than two years from the date of issuance. Ex-
tensions may be granted by CNO (0p-009P), if recom-
mended by CNO (0p-09BH) or CMC (Code DH).
24-9 ACCESS BY FOREIGN NATIONALS
1. In each case, employment of a foreign national, or
an immigrant alien of the Department of the Navy who
has reverted to foreign national status for security
purposes, for duties involving access to classified
information must be approved by the Chief of Naval
Operations (0p-009P). (See paragraph 20-4.7 for ex-
ception for Philippine nonimmigrant alien on active
duty in the Navy.) When the employment is consid-
ered a matter of absolute necessity, the commanding
officer will submit a request for Limited Access Au-
thorization to CNO (0p-009P) (see paragraph 24-5).
The request must clearly show that the individual's
services are of such unique quality and character as to
be unobtainable elsewhere and that, if those services
are not obtained, the work cannot proceed or will be
seriously impaired to the extent that the national se-
curity will directly suffer. The information to which
the foreign national will have access must be releas-
able to the country of his or her origin under the guid-
ance contained in OPNAVINST 5510.48, reference (p).
2. Requests for Limited Access Authorization will in-
clude the forms necessary for a Background Investiga-
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OPNAV INST 5510 . 1G
20 APR 1984
tion. If geographic and political situations prevent the
full completion of a Background Investigation, CNO
(0p-009P) will render an opinion on the adequacy of
the investigation.
3. Authorization will not be given for access to Top
Secret information.
4. A Certificate of Personnel Security Investigation,
Clearance and Access, or any equivalent certificate,
will not be executed for a foreign national granted a
Limited Access Authorization. Access will not be
granted foreign nationals on the basis of personnel
security clearances or assurances of other U.S. Gov-
ernment agencies for visits, .conferences or other pur-
poses. Access to Department of the Navy classified
information by any foreign nationals must be specific-
ally approved by the Chief of Naval Operations. (See
paragraph 12-14 for disclosures to representatives of
foreign governments and training of foreign nationals.)
5. A foreign national employee with a Limited Access
Authorization cannot attend classified courses of ins-
truction or training unless the information is releas-
able to his or her government. (See paragraph 12-14.)
In requesting a quota, provide the training command
with a precise description of the exact material or
subject matter for which limited access has been
granted.
6. Limited Access Authorizations granted to foreign
national employees of Department of the Navy over-
seas activities are subject to periodic reinvestigation
every five years. (See paragraph 21-13.) Submit the
results of the PR to Chief of Naval Operations (Op-
009P) who will review the information submitted and
investigative files disclosed by the check of the De-
fense Central Index of Investigations and advise the
commanding officer as to the continuation or termina-
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24 -4
tion of the Limited Access Authorization. Command-
er, U.S. Naval Forces Philippines is authorized to
conduct the review for those Philippine employees
granted LAA's by COMNAVPHIL (see paragraph 21-6).
24-10 ACCESS BY FORMER PRESIDENTIAL
APPOINTEES
1. Individuals who previously occupied policy-making
positions, to which they were appointed by the Presi-
dent, may not remove classified information upon de-
parture from office. They may be authorized access
to classified information which they originated, re-
viewed, signed or received or which was addressed to
them while in public office, under a Limited Access
Authorization granted by CNO (0p-009P).
2. Commanding officers receiving requests for such
access will refer the requester to CNO (0p-009P).
24-11 ACCESS BY INVESTIGATIVE AND LAW
ENFORCEMENT AGENTS
1. Normally, investigative agents of other depart-
ments or agencies may obtain access to classified in-
formation through established liaison or investigative
channels.
2. When the urgency or delicacy of a Federal Bureau
of Investigation (FBI), Drug Enforcement Administra-
tion (DEA), or Secret Service investigation precludes
use of established liaison or investigative channels,
FBI, DEA or Secret Service agents may obtain access
to classified information as required. However, this
information will be protected as required by its classi-
fication. Prior to any public release of the informa-
tion so obtained, the approval of the head of the acti-
vity or higher authority must be obtained.
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