PERSONNEL SECURITY CLEARANCE DEPARTMENT OF THE ARMY PERSONNEL SECURITY PROGRAM REGULATION

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000501000004-7
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 62
• Document Creation Date: December 23, 2016
• Document Release Date: October 24, 2012
• Sequence Number: 4
• Publication Date: February 1, 1984
• Content Type: REPORT

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ARMY REGULATIOWF
AR 604-5
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HEADQUARTERS, DEPARTMENT,OF THE A
FEBRUARY 1984
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CONTENTS
CHAPTER I
GENERAL PROVISIONS
Section 1
REFERENCES
Paragraph Page
1-100 References I-1
Section 2
PURPOSE AND APPLICABILITY
1-200 Purpose
1-201 Applicability I-1
1-202 Impact on New Manning System 1-2
Section 3
DEFINITIONS
I-1
1-300 Access 1-2
1-301 Adverse Action 1-2
1-302 Alien 1-2
1-302.1 Applicant 1-2
1-303 Background Investigation (BI) 1-2
1-303.1 Break in Federal Service 1-2
1-304 Classified Information 1-2
1-304.1 Denial of Security Clearance 1-2
1-304.2 Derogatory Information 1-2
1-304.3 Employee 1-2
1-305 Entrance National Agency Check (ENTNAC) 1-2
1-306 Head of DoD Component 1-2
1-307 Immigrant Alien 1-2
1-308 interim Security Clearance 1-3
1-308.1Umited-Access-Auth-orization fL'A'A) 1-3
1-308.2 Major Army Command (MACOM) I-3
1-309 1\ilinor Derogatory Information I-3
1-310 National Agency Check (NAC) 1-3
1-311 National Agency Check and Inquiry (NACI) I-3
1-311.1 National of the United States 1-3
1-312 National Security 1-3
1-313 Need-to-know 1-3
1-314 Personnel Security Investigation (PSI) 1-3
1-314.1 Polygraph Examination I-3
1-314.2 Qualification of DD Form 398 1-3
1-314.3 Refusal to Complete DD Form 398 in its Entirety 1-3
1-314.4 Revocation of Security Clearance 1-3
1-315 Scope 1-3
1-316 Security Clearance 1-3
1-317 Senior Intelligence Officer 1-3
1-317.1 Sensitive Compartmented Information (SCI) 1-3
1-318 I-7 Sensitive Position
1-319 Significant Derogatory Information
1-320 Special Access Program
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1-4
1-4
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1-321.
Special Background Investigation (SBI)
1-4
1-322
Special Investigation Inquiry
1-4
1-322.1
Specific Geographical Area
1-4
1-322.2
Suspension of Access
1-4
Section 4
RESPONSIBILITIES
1-400
Responsibilities
1-4
Section 5 .
EXCEPTIONS AND WAIVERS
1-500
Exceptions and Waivers
CHAPTER II
POLICIES
Section 1
STANDARDS FORACCESS TO CLASSIFIED INFORMATION OR
ASSIGNMENT TO SENSITIVE DUTIES
2-100
General
11-1
2-101
Clearance and Sensitive Position Standard
11-1
2-102
Military Service Standard
II-1
Section 2
CRITERIA FOR APPLICATION OF SECURITY STANDARDS
2-200
Criteria for Application of Security Standards
II-1
Section 3
TYPES AND SCOPE OF PERSONNEL SECURITY INVESTIGATIONS
2-300
General
11-2
2-301
National Agency Check
11-2
2-302
Background Investigation
11-2
2-303
Special Background Investigation
II-2
2-304
Special Investigative Inquiry
11-2
2-305
Periodic Reinvestigation S
II-3
2-306
Personal Interview
11-3
2-306.1
Personnel Security Screening Program
11-4
2-307
Expanded Investigation
II-4
Section 4
AUTHORIZED PERSONNEL SECURITY INVESTIGATIVE AGENCIES
2-400
General
11-5
2-401
Subversive Affiliations
11-5
2-402
Suitability Information
11-5
2-403
Hostage Situations
II-6
2-404
Overseas Personnel Security Investigations
11-6
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2-500
2-501
2-502
2-503
2-504
2-505
2-506
3-100
3-101
?4..450r-07:-.402 -
3-103
3-200
3-201
3-201.1
3-202
3-203
3-204
3-300
3-301
3-302
3-303
Section 5
LIMITATIONS AND RESTRICTIONS
Requester and Personnel Security Determination Authority 11-6
-Limit Investigations and Access ? II-6
Collection of Investigative Data II-6
Privacy Act Notification 11-6
Restrictions on Investigators 11-7
Polygraph Restrictions II-7
Screening Out Minor Unfavorable Information II-7
CHAPTER III
PERSONNEL SECURITY INVESTIGATIVE REQUIREMENTS
SECTION 1
SENSITIVE POSITION
Designation of Sensitive Positions M-1
Criteria for Security Designation of Positions 111-1
Authority to Designate Sensitive Positions 111-1
Limitation of Sensitive Positions 111-1
? Page
Section 2
CIVILIAN EMPLOYMENT
General
Nonsensitive Positions III-1
Exceptions to Investigative Requirements
Noncritical-sensitive Positions 111-2
Critical-sensitive Positions 111-2
Exceptions III-2
Section 3
MILITARY APPOINTMENT, ENLISTMENT, AND INDUCTION
General
Entrance Investigation
Reserve Components and National Guard
Exceptions for Certain Commissioned Officers of Reserve Components
Section 4
SECURITY CLEARANCE
3-400 General
3-401 Investigative Requirements for Clearance (US Citizens)
3-402 Security Clearances for Non-United States Citizens
3-403 Limited Access Authorizations for Non-United States Citizens
3-404 Access by Persons Outside the Executive Branch
3-405 Administrative Downgrading
Section 5
SPECIAL ACCESS PROGRAMS
3-500 General
3-500.1 Surety Programs
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3-501 Sensitive Compartmented Information (SCI) 111-5
3-501.1 General Officer (GO) SCI Access Determinations 1111-6
3-502 Single Integrated Operation Plan-Extremely Sensitive Information (SIOP-ESI)
3-503 Presidential Support Activities M-6
3-504 Nuclear Weapon Personnel Reliability Program (PRP) M-6
3-505 North Atlantic Treaty Organization (NATO) Staff III-7
3-506 Other Special Access Programs 111-7
3-507 Automated Data Processing (ADP) Positions III-7
Section
CERTAIN POSITIONS NOT NECESSARILY REQUIRING ACCESS
TO CLASSIFIED INFORMATION
3-600 ? General M-7
3-601 Unescorted Entry of DoD Contractor Employees to Restricted Areas III-8
3-602 Nonappropriated Fund Employees III-8
3-603 Customs Inspectors 111-8
3-604 Red Cross/United Service Organizations (USO) Personnel 111-8
3-605 Officials Authorized to Issue Security Clearances III-8
3-605d Officials Authorized to Grant Access to SCI 1.11-8
3-606 Personnel Security Clearance Adjudication Officials 111-8
3-607 Persons Requiring DoD Building Passes III-8
3-608 Foreign National Employees Overseas Not Requiring Access to Classified Information . III-8
3-609 Special Agents and Investigative Support Personnel III-9
3-610 Persons Requiring Access to Chemical Agents III-9
3-611 Education and Orientation Personnel
3-612 Others III-9
Section 7 .
REINVESTIGATION
3-700 General III-9
3-701 Allegations `Related to Disqualification M-9
3-702 Access to Sensitive Compartmented Information (SCI) M-9
3-703 Critical-sensitive Positions M-9
3-704 Presidential Support Duties III-9
3-705 NATO Staff 1II-9
3-706 Extraordinarily Sensitive Duties
3-707 Foreign Nationals Employed by DoD Organizations Overseas III-10
Section 8
AUTHORITY TO WAIVE INVESTIGATIVE REQUIREMENTS
-3=800.- Authorized Officials
3-801 Combat Operations
CHAPTER IV
RECIPROCAL ACCEPTANCE OF PRIOR INVESTIGATIONS
AND PERSONNEL SECURITY DETERMINATIONS
In-10
EIC1-10
4-100 General IV-1
4-101 Prior Investigations Conducted by DoD Investigative Organizations IV-1
4-102 Prior Personnel Security Determinations Made by DoD Authorities IV-1
4-103 Investigations Conducted and Clearances Granted by Other Agencies of the Federal Gov-
ernment 11/-1
4-104 Security Clearances of Separated DA Personnel IV-2
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CHAPTER V
REQUESTING PERSONNEL SECURITY INVESTIGATIONS
5-100
General
V-1
5-101
Authorized Requesters
V-1
5-102
Criteria for Requesting Investigations
V-1
5-103
Request Procedures
V-1
5-104
Priority Requests
V-1
5-105
Personal Data Provided by the Subject of the Investigation
V-1
5-106
Cancellation of Requests for Investigations and/or Clearances
V-2
CHAPTER VI
ADJUDICATION
6-100
General
VI-1
6-101
Central Adjudication
VI-1
6-102
Evaluating Personnel Security Information
VI-1
6-103
Adjudicative Record
VI-1
6-104
Reporting Results of Security or Suitability Determination for Civilian Employees
VI-1
CHAPTER VII
ISSUING CLEARANCE AND GRANTING ACCESS
7-100
General
VII-1
7-101
Issuing Clearance
VE-1
7-102
Granting Access
VE-1
7-103
Administrative Withdrawal
VE-2
7-104
Security Clearances of Separated DA Personnel
VII-2
CHAPTER VIII
ADVERSE ACTIONS
Section 1
REQUIREMENTS
8-100
General
'VIE -1
8-101
Referral for Action
VIII-1
8-102
Suspension
VIE-1
8-103
Final Adverse Actions
VIII-2
8-104
Reporting Adverse Actions
VIE -2
Section 2
PROCEDURES
8-200
General
8-201
Adverse Action Procedures
VIII- 2
8-201.1
Adverse Action Procedures for DA Civilian Personnel In National Security Cases.
8-202
Exceptions to Policy
VIII-7
Section 3
REINSTATEMENT OF CIVILIAN EMPLOYEES
8-300
General
vru-7
8-301
Reinstatement Benefits
VITIL7
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CHAPTER IX
CONTINUING SECURITY RESPONSIBILITIES
Section 1
EVALUATING CONTINUED SECURITY ELIGEE3ILITY
Page
9-100
9-101
9-102
9-103
General
Command Responsibility
-. Supervisory Responsibility
Individual Responsibility
X.1-1
XI-1
XI-1
x1-1
Section 2
SECURITY EDUCATION
9-200
General
XI-1
9-201
Indoctrination Briefing
XI-1
9-202
Refresher Briefings
XI-2
9-203
Foreign Travel Briefings
XI-2
9-204
Debriefings
XI-2
CHAPTER X
SAFEGUARDING PERSONNEL SECURITY INVESTIGATIVE RECORDS
10-100
General
X-1
10-101
Responsibilities
X-1
10-102
Access Restrictions
X-1
10-103
Safeguarding Procedures
X-1
10-104
Records Disposition
X-1
10-105
Foreign Source Information
X-2
CHAPTER XI
PROGRAM MANAGEMENT
11-100
General
XI-1
11-101
Responsibilities
XI-1
11-102
Inspections
XI-1
APPENDIXES
Appendix A
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
Appendix G
Appendix H
Appendix I
Appendix J
Appendix K
Appendix L
Appendix M
References A-1
Investigative Scope B-1
Request Procedures C-1
Tables for Requesting Investigations D-1
Reporting of Nonderogatory Cases E-1
Personnel Security_Determination-Authonties F-1
Guidelines for Conducting Prenomination Personal Interviews G-1
Countries Officially Designated as Communist-controlled H-1
Adjudication Guidelines I-1
To be Published J-1
Defense Security Briefing Provided US Government Employees Traveling to
Communist Controlled Countries K-1
Detailed Instructions for Completing DD Form 398?Personnel Security Ques-
tionnaire (BI-SBI)
Detailed Instructions for Completing DD Form 398-2?Personnel Secu-
rity Questionnaire (National Agency Check) M-1
L-1
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AR 604-6
(3) Employees of the Army National Guard,
Army-Air Force Exchange Service, and the Amer-
ican Red Cross and/or United Service Organiza-
tions (USO) where Army personnel security clear-
ances are required.
1-202 Impact on New Manning System
This regulation does not contain information
that affects the New Manning System.
Section 3
DEFINITIONS
US Government for more than 12 months. A break
in service of more than 12 months will require a
new or updated personnel security investigation.
The reinvestigation requirement does not apply to
summer hires, part-time, or seasonal employees
who return to work each year even though a break
of over 12 months may technically occur. If the
employee misses a year, than reinvestigation is re-
quired.
1-304 Classified Information
Official Information or material that requires pro-
tection in the interests of national security and that is
classified for such purpose by appropriate classifying
authority in accordance with the provisions of Execu-
tive Order 12356 (reference (h)).
1-304.1 Denial of Security Clearance
The refusal to grant a security clearance, or
the refusal to grant a higher degree of clearance to
a person who possesses a clearance of a lower de-
gree.
1-304.2 Derogatory Information
_Information of such nature as to constitute, a
possible basis for taking an adverse action.
a. Adverse loyalty information?see para-
graph 2-200a through f and m.
b. Adverse suitability information?see para-
graph 2-200 h through p.
17-304.3 Employee
emproyettb-STIM-TliiTerm employ-
ee is also used to denote any salaried person serv-
ing with, or employed by, the American National
Red Cross or USO who is subject to assignment for
overseas duty with the Armed Forces.
1-305 Entrance National Agency Check (ENTNAC)
A personnel security investigation scoped and con-
ducted in the same manner as a National Agency
Check except that a technical fingerprint search of the
fires of the Federal Bureau of Investigation is not con-
ducted.
1-306 Head of DoD Component
The Secretary of Defense; the Secretaries of the
Military Departments; the Chairman, Joint Chiefs of
Staff; and the Directors of Defense Agencies.
1-307 Immigrant Alien
Any alien lawfully admitted into the United
States under an immigration visa for permanent resi-
dence.
1-300 Access
The ability and opportunity to obtain knowledge
of classified information. An individual, in fact, may
have access to classified information by being in a
place where such information is kept, if the security
measures that are in force do not prevent him from
gaining knowledge of such information.
1-301 -:-Adverge-Action
Any action taken with respect to an individual
who has been investigated under the provisions of this
Regulation that result in:
a. Denial- or revocation of clearance for access to
classified information.
b. Denial or revocation of a Special Access Au-
thorization (including access to Sensitive Compart-
mented Information (SCI)).
c. Nonappointment or nonselection for a sensitive
position when such action is based on the criteria set
forth in paragraph 2-200 of this Regulation.
d. Reassignment to a position of lesser sensitivity
or to a nonsensitive position when such reassignment
is based on the criteria of paragraph 2-200 of this
Regulation.
e. Termination of employment when such termi-
nation is based on the criteria of paragraph 2-200 of
this Regulation.
f. Nonacceptance for, or discharge from, he
Armed Forces when such action is based on criteria
through f. of paragraph 2-200 of this Regulation.
1-302 Alien
Any person not a citizen or national of the United
States.
1-302.1 Applicant
A person not currently employed by DA or a
member of the Armed Forces.
1-303 Background Investigation (BI)
A personnel security investigation consisting of
both records reviews and interviews with sources of in-
formation as prescribed in paragraph 2, Appendix B,
this Regulation, covering the most recent 5 years of an
individual's life or since the 18th birthday, whichever
is shorter, provided that at least the last 2 years are
covered and that no investigation will be conducted
prior to an individual's 16th birthday.
1-303.1 Break in Federal Service
A person (military member or civilian employ-
ee) is considered to have a break in Federal Serv-
ice if the person as not been affiliated with the
1-2
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1-308 Interim Security Clearance
A security clearance based on the completion of
minimum investigative requirements, which is grant-
ed on a temporary basis, pending the completion of the
full investigative requirements.
1-308.1 Limited Access Authorization (LAA)
The formal authority granted to non-US citi-
zens to have access to specifically prescribed and
limited US classified defense information and/or
material.
1-308.2 Major Army Command (MACOM)
A command directly subordinate to, estab-
lished by authority of, and specifically designated
by HQDA. Army component commands of unified
and specified commands are major Army com-
mands.
1-309 Minor Derogatory Information
?
Information that, by itself, is not of sufficient im-
portance or magnitude to justify an adverse action in a
personnel security determination.
1-310 National Agency Check (NAC)
A personnel security investigation consisting of a
records review of certain national agencies as pre-
scribed in paragraph 1, Appendix B, this Regulation,
including a technical fingerprint search of the files of
the Federal Bureau of Investigation (FBI).
1-311 National Agency Check and Inquiry (NACI)
A personnel security investigation conducted by
the Office of Personnel Management, combining a
NAC and written inquiries to law enforcement agen-
cies, former employers and supervisors, references and
schools.
1-311.1 National of the United States
A citizen of the United States, or a person
who, though not a citizen of the United States,
owes permanent allegiance to the United States.
The provisions of this regulation are equally ap-
plicable to US citizens and nationals of the United
States.
1-312 National Security
National security means the national defense and
foreign relations of the United States.
1-313 Need-to-know
A determination made by a possessor of classified
information that a prospective recipient, in the inter-
est of national security, has a requirement for access
to, or knowledge, or possession of the classified infor-
mation in order to perform tasks or services essential
to the fulfillment of an official United States Govern-
ment program. Knowledge or possession of, or access
to, classified information shall not be afforded to any
individual solely by virtue of the individuals office,
position, or security clearance.
1-314 Personnel Security Investigation (PSL)
Any investigation required for the purpose of de-
AR 604-5
termining the eligibility of DoD military and civilian
personnel, contractor employees, consultants, and
other persons affiliated with the Department of De-
fense, for acccess to classified information, acceptance
or retention in the Armed Forces, assignment or reten-
tion in sensitive duties, or other designated duties re-
quiring such investigation. PSIs include investigations
of affiliations with subversive organizations, suitabil-
ity information, or hostage situations (see para 2-403)
conducted for the purpose of making personnel securi-
ty determinations. They also include investigations of
allegations that arise subsequent to adjudicative ac-
tion and require resolution to determine an individ-
ual's current eligibility for access to classified informa-
tion or assignment or retention in a sensitive position.
1-314.1. Polygraph examination
A polygraph examination is a voluntary exam-
ination of a person by qualified examiners using
polygraph equipment approved by DA. AR 195-6
(ref(n)) applies.
1-314.2 Qualification of DD Form 398
A "yes" answer to any question in item 17 of
the form or any entry of national security signifi-
cance in items 16, 18, 19 or the remarks section,
DD Form 398, March 1964 edition.
1-314.3 Refusal to Complete DD Form 398 in its
Entirety
A refusal to complete any part of items 16, 17,
18, 19 or any claim that the information requested
in these items is privileged under the US Constitu-
tion or Article 31, Uniform Code of Military Jus-
tice.
1-314.4 Revocation of Security Clearance
The cancellation of a person's eligibility for
access to classified information.
1-315 Scope
The time period to be covered and the sources of
information to be contacted during the prescribed
course of a PSI.
1-316 Security Clearance
A determination that a person is eligible under the
standards of this regulation for access to classified in-
formation.
1-317 Senior Intelligence Officer
The Senior Intelligence Officers are: the Director,
National Security Agency/Central Security Service;
Director, Defense Intelligence Agency; Assistant Chief
of Staff for Intelligence, U.S. Army; Assistant Chief of
Staff for Intelligence, U.S. Air Force; and the Director
of Naval Intelligence, U.S. Navy.
1-317.1 Sensitive Compartmented Information
(SCI)
All information and material that requires
special controls for restricted handling within
compartmented intelligence systems and for
which compartmentation is established.
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1-318 Sensitive Position
Any position so designated within- the Department
of Defense, the occupant of which could bring about,
by virtue of the nature of the position, a materially ad-
verse effect on the national security. All civilian posi-
tions are either critical-sensitive, noncritical-sensitive,
or non-sensitive as described in paragraph 3-101.
1-319 Significant Derogatory Information
Information that could, in itself, justify an adverse
personnel security determination, or prompt an ad-
judicator to seek additional investigation or clarifica-
tion.
1-320 Special Access Program
Any program imposing "need-to-know" or access
controls beyond those normally provided for access to
Confidential, Secret, or Top Secret information. Such
a program includes, but is not limited to, special clear-
ance, adjudication, investigative requirements, mate-
rial dissemination restrictions, or special lists of per-
sons determined to have a need-to-know.
1-321 Special InvestigationEi.g._91.n
A personnel security investigation consisting of all
of the components of a BI plus certain additional in-
vestigative requirements as prescribed in paragraph 3,
Appendix B, this Regulation. The period of investiga-
tion for an SBI is the last 15 years or since the 18th
birthday, whichever is shorter, provided that the last 2
full years are covered and that no investigation will be I
conducted prior to an individual's 16th birthday.
1422 Special Investigative Inquiry
A supplemental personnel security investigation
of limited scope conducted to update or assure corn-
pleteness of a prior investigation or to prove or dis-
prove relevant allegations that have arisen concerning
a person upon whom a personnel security determina-
tion has been previously made and who, at the time of
the allegation, holds a security clearance or otherwise
occupies a position that requires a personnel security
determination under the provisions of this Regulation.
This also includes investigations for reconsidera-
tion of persons who were previously denied clear-
ance or access.
1-322.1 Specific Geographical Area
The assignment location of a .person deter-
mined by the Commanding General, ITS Army
Military Personnel Center (MILPERCEN) together
with the Assistant Chief of Staff for Intelligence.
1-322.2 Suspension of Access
The temporary withdrawal of a person's eligi-
bility for access to classified information when in-
formation becomes known which casts doubt as to
whether continued access is consistent with the
best interests of the national security.
Section 4
RESPONSIBILITIES
1-400 Responsibilities
a. the Deputy Assistant Secretary (DA Review
Boards and Personnel Security) will insure the im-
plementation of DoD Directive 5200.2 and DoD
5200.2-R.
b. The Assistant Chief of Staff for Intelligence
(ACSI) will establish policy, control and exercise
staff supervision of the Army personnel security
program.
c. The Judge Advocate General (TJAG) will
prepare allegations in cases which the ACSI rec-
ommends a person be rejected or discharged under
provisions of this regulation.
d. The Commander, US Army Central Person-
nel Security Clearance Facility (CCF) -is responsi-
ble for the adjudication, granting, revocation and
denial of personnel security clearances and SCI ac-
cess eligibility determinations.
e. Local commanders will:
(1) Initiate requests for personnel security
investigations.
(2) Suspend the access to clasified informs-
tion.
(3) Request security clearances.
(4) Grant interim security clearances.
(5) Report adverse information.
(6) Assist personnel in completing applic-
able forms.
These functions are usually performed by the G2,
S2, or Security Manager.
Section 5
EXCEPTIONS AND WAIVERS
1-500 Exceptions and Waivers
Authority to grant exceptions or waivers un-
der this regulation or to submit requests for waiv-
ers or exceptions to DoD, is retained by HQDA
A
(DAMI-CIS). Requests for exceptions or waivers
will be submitted through command channels to
HQDA (DAMI-CIS), WASH DC 20310.
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Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
1.February 1984
CHAPTER II
POLICIES
Section 1
STANDARDS FOR ACCESS TO CLASSIFIED INFORMATION OR
ASSIGNMENT TO SENSITIVE DUTIES
been investigated and cleared for access under the.
minimum standards prescribed by this regulation.
Security clearances indicate that the persons con-
cerned are eligible for access to classified informa-
tion should their official duties require it.
2-101 Clearance and Sensitive Position Standard
The personnel security standard that must be ap-:
plied to determine whether a person is eligible for ac4
cess to classified information or assignment to sensi
tive duties is whether, based on all available inform,:
tion, the person's loyalty, reliability, and trustwortITI
ness are such that entrusting the person with classi
fied information or assigning the person to sensitiv,
duties is clearly consistent with the interests of nation
al security.
2-102 Military Service Standard
The personnel security standard that must be at,:
plied in determining whether a person is suitable ur
der national security criteria for appointment, enlisl
ment, induction, or retention in the Armed Forces i
that, based on all available information, there is a
reasonable basis for doubting the person's loyalty t
the Government of the United States.
2-100 General
a. Only United states citizens shall be assigned to
sensitive duties or granted access to classified informa-
tion unless an authority designated in Appendix F has
determined that, based on all available information, it
is in the national interest, considering special exper-
tise, to assign an individual who is not a citizen to sen-
sitive duties or grant access to classified information.
Non-U.S. citizens may be employed in the competitive
service in sensitive civilian positions only when specif-
ically approved by the Office of Personnel Manage-
ment (reference(i)). Only in rare circumstances shall a
non-U.S. citizen be granted access to classified infor-
mation. Nco-U.S. citizens issued clearances or as-
signed to sensitive duties prior to the issuance of this
Regulation may continue in that status in accordance
with this Regulation.
b. No person is entitled to knowledge of, pos-
session of, or access to classified defense informa-
tion solely by virtue of the person's office, posi-
tion, grade, or security clearance. Such informa-
tion will be entrusted only to those persons whose
official military or other governmental duties re-
quire this knowledge or possession and who have
AR 604-5
Section 2
CRITERIA FOR APPLICATION OF SECURITY STANDARDS
2-200 Criteria for Application of Security Standards
The ultimate decision in applying either of the
standards set ,forth in paragraph 2-101 and 2-102
above must bean overall commonsense determination
based on, all available facts. Failure to satisfy these
standards shall be based upon, but not necessarily lim-
ited to, the following criteria:
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 sedi-
tion.
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 na-
tion 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 Government
of the United States by unconstitutional means.
c. Advocacy of use of force or violence to ove
throw the Government of the United States or of
alteration of the form of Government of the Uniti.
States by unconstitutional means.
d. Knowing membership with the specific inte-
of furthering the aims of, or adherence to and acti
participation in, any foreign or domestic organizatic
association, movement, group, or combination of p:
sons that unlawfully advocates or practices the co:
mission of acts of force or violence to prevent oth?
from exercising their rights under the Constitution
laws of the United States or subdivision thereof by L
lawful means.
e. Performing or attempting to perform on
duties, or otherwise acting, so as to serve the intere:
of another government in preference to the intere.
of the United States.
f. Close continuing association with persons or
ganizations whose activities are of the type descril:
in a. through e. above.
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Declassified and Approved For Release 2013/01/29:
g. Conduct of the nature described in Appendix E
in prior military service or civilian employment.
h. Excessive indebtedness.
i. Criminal or dishonest conduct.
j. Deliberate false statement, deception fraud
in applying for enlistment or appointment or in pro-
viding information in connection with a security clear-
ance or assignment to a sensitive position.
k. Habitual or episodic use of intoxicating bever-
ages to excess.
1. Abuse of, or addiction to, narcotics, drugs, or
other controlled substances.
m. Any facts, circumstances, or conduct that fur-
nishes reasons to believe that the person concerned
may be subject to coercion, influence, or pressure that
could cause him to act contrary to the national secu-
rity. Such facts or circumstances may include the pres-
sure of an immediate family member, friend, or asso-
ciate residing in a nation whose interests may be inim-
ical to the interests of the United States or in satellites
or occupied areas of such a nation. Im'mediate family
includes parents, brothers, sisters, children, and
spouse.
CIA-RDP90-00530R000501000004-7
FeLlitai-; ; ?
? ;
n. Any facts, circumstances, or conduct that vic
cates poor judgment, unreliability, or untrustwond
ness thereby suggesting that the person concern,
might fail to safeguard classified information, deli
erately or inadvertently, or may not be suitable for a
signment to sensitive duties.
I. Any illness, including any mental condition, ,
a nature which in the opinion of competent medical a
thority may cause significant defect in the judgmei
or reliability of the person concerned, with due regal
to the transient or continuing effect of the illness ar
medical findings in such case.
p. Wanton or reckless disregard of public laA
statutes, Executive orders, or willful disregard of sec-
rity regulations.
q. Refusal or intentional failure to provide mat
rial facts in a personal history statement or securit
form or otherwise intentionally failing or refusing i
the course of an in-estigation, interrogation or hea:
ing, to answer or to authorize others to answer, an
material questions regarding the matters set forth i
a. through p. of this paragraph.
Section 3
TYPES AND SCOPE OF PERSONNEL SECURITY INVESTIGATIONS
2-300 General
The types of personnel security investigations au-
thorized below vary in scope of investigative effort re-
quired to meet the purpose of the particular investiga-
tion. No other types are authorized. The scope of a PSI
may be neither raised nor lowered without the ap-
proval of the Deputy Under Secretary of Defense for
Policy Review.
2-301 National Agency Check
Essentially, a NAC is a record check of designated
agencies of the Federal Government that maintain rec-
ord systems containing information relevant to mak-
ing a personnel security determination. An ENTNAC
is a NAC (scope as set forth in Appendix B) conducted
on inductees and first-term enlistees. A NAC is also an
integral part of each BI, SBI, and Periodic Reinvesti-
gation (PR). The Office of Personnel Management
(OPM), formerly the Civil Service Commission (CSC),
conducts NACs and written inquiries (NACIs) for all
departments and agencies of the Federal Government,
pursuant to Executive Order 10450 (reference (e)).
NACs or NACIs conducted by the ORM meet the NAC
investigative requirements of this Regulation. Chapter
LII prescribes when a NAC is required.
2-302 Background Investigation
A BI includes a NAC and consists of local record
checks as well as interviews with potentially knowl-
edgeable personal sources. It will normally cover the 5
year period immediately preceding the investigation;
II-2
however, certain of the record checks may provide in
formation considerably beyond the 5-year period wile!
the record examined is itself older than 5 years. Chap
ter III prescribes when a BI is required.
2-303 Special Background Investigation
a. Any?SBI is essentially a BI providing additiona
coverage both in period of time as well as sources of in
formation, scoped in accordance with the provisions o
DCID 1/14 (reference (j)). While the kind of coverag
an SBI provides is the investigative requirement o
DCID 1/14 for determining eligibility for access ti
SCI, DoD has adopted this coverage for certain ?the_
Special Access programs. Chapter III prescribes whet
an SBI is required.
b. The OPM, FBI, Central Intelligence Agenc:
(CIA), Secret Service, and the Department of Stat-
conduct specially scoped BIs under the provisions a
DCID 1/14. Any investigation conducted by one of th
above-cited agencies under DCID 1/14 standards i.
considered to meet the SBI investigative requirement
of this Regulation.
c. The detailed scope of an SBI is set forth in Ap
pendix B.
2-304 Special Investigative Inquiry
a. A Special Investigative Inquiry is a personne
security investigation conducted for either of the fol
lowing purposes:
(1) To supplement a BI, SBI, or PR that ha.
been closed out to the requester but subsequentl:
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AR 604re5 . Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7 -
the appropriate military department or civilian crimi-
nal investigative agency. Military department hives-
tigative agencies have primary investigative juris-
diction in cases where there is probable cause to
believe that the alleged conduct will be the basis
for prosecution under the Uniform Code of Mili-
tary Justice. Such information will be referred to
the installation or unit Provost Marshal and/or Se-
curity Manager or the US Army Criminal Investi-
gation Command for action.
2-403 Hostage Situations
a. General. A hostage situation exists when a
member of an individual's immediate family or such
other person to whom the individual is bound by obli-
gation or affection resides in a nation whose interests
are inimical to the interest of the United States. The
rationale underlying this category of investigation is
based on the possibility that an individual in such a sit-
uation might be coerced, influenced, or pressured to
act contrary to the best interests of national security.
b. DIS Jurisdiction. In the absence of evidence of
any coercion, influence or pressure, hostage investiga-
tions are exclusively a personnel security matter, rath-
er than counterintelligence, and all such investigations
shall be conducted by DIS.
c. Military Department and/or FBI Jurisdiction.
Should indications be developed that hostile intelli-
gence is taking any action specifically directed against
the individual concerned?or should there exist any
r eoruary 190
other evidence that the individual id actually being cal
erced, influenced, or pressured by an element inimick
to the interests of national security?then the case be.
comes a counterintelligence matter (outside of invesel.
gative jurisdiction of DIS) to be referred to the appeo,
priate military department or the FBI for investiga-
tion.
2-204 Overseas Personnel Security Investigations.
Personnel security investigations requiring inves-
tigation overseas shall be conducted under the direc-
tion and control of DIS by the appropriate military de-
partment investigative organization (AR 381-20, ref
(ww) applies). Only postadjudication investigations
involving an overseas subject, to include LAA cases,
may be referred by the requestor directly to the mil
tary department investigative organization having in-
vestigative responsibility in the overseas area con-
cerned (see Appendix C) and a copy of the investiga-
tive request will be sent to DIS. In such cases, the mili-
tary department investigative agency will complete
the investigation, forward the completed report of in-
vestigation directly to DIS, and send a copy of the com-
pleted report of investigation to the requester. In the
case of Army and Air Force requesters, the copy will
be sent to the :U.S. Army Central Personnel Security
Clearance Facility, Ft. George Meade, Maryland, and
the Personnel Security Division, Headquarters, USAF, h
respectively. Copies of completed investigations P
for LAAs will not be sent to CCF.
Section 5
LIMITATIONS AND RESTRICTIONS
2-500 Requester and Personnel S_!.,c_i_i_Lily_p_s_Lermina-
tion Authority:_
Personnel security investigations may be re-
quested and personnel security clearances (including
Special Access authorizations as indicated) may be is-
sued only by those authorities designated in paragraph
5-101 and Appendix F.
2-501 Limit Investigations and Access
The number of persons cleared for access to classi-
fied information shall be kept to a minimum, consis-
tent with the requirements of operations. Special at-
tention shall be given to eliminating unnecessary re-
quests for personnel security investigations.
2-502 Collection of Investigative Data
To the greatest extent practicable, personal infor-
mation relevant to security determination shall be oh.
tamed directly from the subject of a personnel security
invesitgation. Such additional information required to
make the necessary personnel security determination
shall be obtained as appropriate from knowledgeable
personal sources, particularly the subject's peers, and
through checks of relevant records including school,
11-6
employment, credit, medical, and law enforcement
records.
2-503 Privacy Act Notification.
Whenever personal information is solicited from
an individual for the purpose of initiating a personnel
security investigation, the individual must be in-
formed of (1) the authority (statute or Executive order
that authorized solicitation); (2) the principal purpose
or purposes for which the information is to be used; (3)
the routine uses to be made of the information; (4)
Whether furnishing such information is mandatory or
voluntary; and (5) the effects on the individual, if any,
of not providing the information. All DoD personnel
security forms that are intended to be completed by
the subjects of investigation will include this five-
point notification within the body of the form or a sep-
arate notification shall accompany the investigative
form when it is given to the individual for completion.
DoD activities that furnish investigative forms direc-
tly to individuals for completion must ensure that the
individuals are provided this five-point notification by
one of the two methods indicated above or (when sup-
plemental personal data is orally solicited) that the no-
neclassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
1 Fi
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Declassified and Approved For Release 2013/01/29 : CIA-RD
uce is given orlipo the subject of investigation.
2-504 Restrictions on Investigators
Investigation shall be carried out insofar as possi
ble to collect only as much information as is relevant
and necessary for a proper personnel security determi
nation. Questions concerning personal and domestic
affairs, national origin, financial matters, and the sta-
tus of physical health thus should be avoided unless
the question is relevant to the criteria of paragraph
2-200 of this Regulation. Similarly, the probing of a
person's thoughts or beliefs and questions about con-
duct that have no personnel security implications are
unwarranted. When conducting investigations under
the provisions of this Regulation, investigators shall:
a. Investigate only cases or persons assigned with-
in their official duties.
b. Interview sources only where the interview can
take place in reasonably private surroundings.
c. Always present credentials and inform sources
of the reasons for the investigation. Inform sources of
the subject's accessibility to the information to be pro-
vided and to the identity of the sources providing the
information. Restrictions on investigators relating to
Privacy Act advisements to subjects of personnel secu-
rity investigations are outlined in paragraph 2-503.
d. Furnish only necessary identity data to a
source, and refrain from asking questions in such a
manner as to indicate that the investigator is in pos-
session of derogatory information concerning the sub-
ject of the investigation.
e. Refrain from using, under any circumstances,
.covert or surreptitious investigative methods, devices,
or techniques including mail covers, physical or photo-
graphic surveillance, voice analyzers, inspection of
trash, paid informants, wiretap, or eavesdropping de-
vices.
f. Refrain from accepting any case in which the
investigator knows of circumstances that might ad-
versely affect his fairness, impartiality, or objectivity.
g. Refrain, under any circumstances, from con-
ducting physical searches of the subject or his prop-
erty.
,h. Refrain from using a polygraph in any investi-
gation conducted under this Regulation, except as pro-
vided for in DoD Directive 5210.48 (AR 195-6)
(ref(n)).
1. Refrain from attempting to evaluate material
contained in medical files. Medical files shall be eval-
uated for personnel security program purposes only by
inves-
ler the direc-
military de-
381-20, ref
Lnvestigations
e LAA cases,
ly to the mill-
ion having in-
eas area con-
the investiga-
cases, the mill-
will complete .
id report of in-
opy of the corn.
quester. In the
3, the copy will
3onnel Security
Maryland, and
uarters, USAF, ti
investigations
w enforcement
3 solicited from
cing a personnel
1 must be in.
Executive order
'ncipal purpose
is to be used; (31
information; (4)
is mandatory
dividual, if any
DoD perso
be completed
elude this f
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t ensure that
it notification
ye or (when
ited) that the
P90-00530R000501000004-7
Irch personnel as are designated by DoD
thorities. However, review and collection
record information may be accomplished
ized investigative personnel.
2-505 Polygraph Restrictions
The polygraph shall not be used as
security screening measure except in thos
stances authorized by the Secretary of Def
Directive 5210.48 (AR 195-6) (reference (n
2-506 Screenin Out Minor Unfavorabi
tion
a. During the course of a personnel .
vestigation, some unfavorable personal infc
a minor nature may be collected that has li
cance in making a personnel security det
The forwarding of such reports of investiga
only to use adjudicative time and divert atte
more important cases. In addition, unnec
semination of Such trivial data may be un
intrusive of personal privacy. Accordingly
screen all personnel security reports of ire
using a logic table of minor derogatory da
tent with Appendix E, for the purpose of n
nating unfavorable personal information
nature.
b. The Director, DIS, will establish an
procedures to insure that only adverse/d
questionable information falling within the?
Appendix E will be forwarded to requesters.
ports of investigation that pertain to perso
there is either no adverse information or o
unfavorable information will be retained in
and reported to the requesters by armotat
quest form (DD 1879, DD 1584, or letter o
with a statement indicating (1) type of inve
(2) the date investigation was completed, (3
that no significant information was develop
enumeration of sources contacted (i.e., ide
of agencies checked, extent of local agencies
ment, residences, education, credit, medicz
references checked). Components whose re
specifically excluded from the foregoing poli
Secretary of Defense or the Deputy Under Se
Defense for Policy Review will receive all rep
vestigation. The procedures of this section d
ply to investigations of personnel nominated
cial Access programs except Navy personnel
access to SCI.
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CHAPTER III
PERSONNEL SECURITY INVESTIGATIVE REQUIREMENTS
Section 1
SENSITIVE POSITIONS
3-100 Designation of Sensitive Positions
Certain civilian positions within the Department
of Defense entail duties of such a sensitive nature, in-
cluding access to classified information, that the mis-
conduct, malfeasance, or nonfeasance of an incumbent
in any such position could result in an unacceptably
adverse impact upon the national security. These posi-
tions are referred to in this Regulation as sensitive
positions. It is vital to the national security that great
care be exercised in the selection of individuals to fill
such positions. Similarly, it is important that only po-
sitions which truly meet the criteria set forth in para-
graph 3-101 be designated as sensitive. A sensitive
position will not be downgraded or reclassified as
non.sensitive solely to aid the recruitment of per-
sonnel.
3-101 Criteria for Security Designation of Positions
Each civilian position within the Department of
Defense shall be categorized, with respect to security
sensitivity, as either nonserisitive, noncritical-sensi-
tive, or critical-sensitive.
a. The criteria to be applied in designating a posi-
tion as sensitive are:
(1) Critical-sensitive
(a) Access to Top Secret Information.
(b) Development or approval of plans, policies,
or programs that effect the overall operations of the
Department of Defense or of a DoD Component.
(c) Development or approval of war plans, plans
or particulars of future major or special operations of
war, or critical and extremely important items of war.
(d) Investigative and certain investigative sup-
port duties, the issuance of personnel security clear-
ances or access authorizations, or the making of per-
sonnel security determinations.
(e) Fiduciary, public contact, or other duties de-
manding the highest degree of public trust.
(f). Duties falling under Special Access pro-
grams.
AR 609-5
g. Category I automated data program posi-
tions.
(h) .Any other position so designated by the head
of the Component or designee.
(2) Noncritical-sensitive
(a) Access to Secret or Confidential informa-
.
tion.
(b) Security police/provost marshal-type duties
involving the enforcement of law and -security duties
involving the protection and safeguarding of DoD per-
sonnel and property.
(c) Category II automated data program posi-
tions.
(d) Duties involving education and orientation
of DoD personnel.
(e) Duties involving the design, operation, or
maintenance of intrusion detection systems deployed
to safeguard DoD personnel and property.
(f) Any other position so designated by the head
of the Component or designee.
? b. All other positions shall be designated as nonsen-
sitive.
3-102 Authority to Designate Sensitive Positions
The authority to designate sensitive positions is
limited to those authorities designated in Appendix F,
paragraph G. These authorities shall designate each
position within their jurisdiction as to its security sen-
sitivity and maintain these designations current vis-a-
vis the specific duties of each position.
3-103 Limitation of Sensitive Positions
It is the responsibility of those authorities author-
ized to designate sensitive positions to insure that (1)
only those positions are designated as sensitive that
meet the criteria of paragraph 3-101 above and (2)
that the designation of sensitive positions is held to a
minimum consistent with mission requirements.
Designating authorities shall maintain an annual ac-
counting of the number of sensitive positions by cate-
gory and specific designation criteria..
Section 2
CIVILIAN EMPLOYMENT
3-200 General
The appointment of each civilian employee in any
DoD Cornponen is subject to investigation, except for
e
reappointment w en t re m. e ent is less
than 12 months. The type of investigation required is
set forth in this section according to position sensitiv-
ity.
3-201 Nonsensitive Positions
A NACI shall be requested no more than 3 work
days after appointment to nonsensitive positions.
3-201.1 Exceptions to Investigative Require.
rnents
The following exceptions have been granted DA
by the Office of Personnel Management (OPM):
M-1
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AR 1.34 Declassified and Approvewd For Release 2013/01/29 : CIA-RDP90170530R000501000004-7
Nur 1 February
a. When a person, either a US citizen or an alien
(who will work within the US and its territories or
possessions), is to be assigned to a nonsen.sitive po-
sition on a temporary basis not to exceed 6
months, a NACI is not automatically required. The
person will be subject to this investigation as is
consistent with the circumstances and duties in-
volved as determined by the commander or hea
of the activity. In no case will this investigation be
less than the preemployment inquiries prescribe
by CPR 296-31, appendix B, S731-3. Command-
ers will assure maximum and proper use of this ex-
ceptio. n.
b. A non-US citizen to be assigned to a nonsensi-
tive position outside the US and its territories and
possessions will be subject to so much of the in-
vestigation outlined below as it is feasible to con=
duct.
(1) A check of the national investigative agen-
cies of the foreign government.
(2) A check of appropriate local law enforce-
ment agencies at the place or places where the per-
son has resided for the past 5 years.
(3) A check of the appropriate US military in-
telligence files.
c. The requirement for the "written inquiries"
portion of the NACI in connection with summer
hire personnel being considered for assignment to
sensitive positions has been waived. A NACI will
be required if a summer hire employee subse-
quently receives appointment as a permanent ci-
vilian employee.
d. A NACI will not be requested for a military
or civilian family member employee hired under 5
CFR 213.3166 (b)(6). Commanders will assure that
this employment will not be adverse to US inter-
ests.
3-202 Noncritical-sensitive Positions
A NACI shall be requested and the NAC portion
favorably completed prior to appointment to nonoriti,
cal-sensitive positions (for exceptions see paragritte
3-204).
3-203 Critical -sensitive Positions
/ A Bi shall be completed favorab aPPoint.
ent to critical-sensitive positions (for exceptions.a0
ragraph 3-204). Certain critical-sensitive position'
equire a preappointment SBI in accordance with sev
tion 5 of this chapter. Prrppointment Bis and SBIs
will be conducted by D
3-204 Exceptions
, bs
of
th
3-
l)
a. Noncritical-sensitive. In
critical-sensitive position may be
completion of the NAC portion of t
of the requesting organization finds that the delay in
appointment would be harmful to the national security
and such finding shall be reduced to writing and made
part of the civilian personnel -recol:d. In such in?
stances, the position ma.be,e ni after the NACI
has been requested.
an e ncy, a non.
occupied pending the
if the head
?S:S...b. Critical -sensitive. In an emergency, a critical-sen?
----N.."Ntitive position may be occupied pending completion of
the BI (or SBI, as appropriate) if the head of the re-
\N?Kquesting organization finds that-t-he cfelTyln-appoint?
ment would be harmful to the national security and
such finding shall be reduced to writing and made ak
part of the civilian personnel record. In such instances,!
the position may be filled only when the NAC portion
of the BI (or SBI) has been completed and favorably ad-
judicated.
c. For use with the exceptions a and b above, a
delay in appointment may be considered harmful
to national security if?
(1) Regulatory requirements, mission essen-
tial functions, or responsibilities cannot be met.
(2) No other personnel are available, on a tem-
porary basis, to complete these requirements.
Section 3
MILITARY APPOINTMENT, ENLISTMENT, AND INDUCTION
3-300 General
The appointment, enlistment, and induction of
each member of the Armed Forces or their Reserve
Components shall be made subject to investigation.
The types of investigation required are set forth in this
section.
3-301 Entrance Investigation
An ENTNAC shall be conducted on each enlisted
member of the Armed Forces at the time of initial en-
try into the service as well as reentry when there is a
break of service greater than 12 months, and a full
NAC shall be conducted on each commissioned officer,
except as permitted by paragraph 3-303 of this sec-
111-2
tion, warrant officer, cadet, midshipman, and Reserve
Officers Training Candidate, at the time of appoint-
ment. A full NAC shall be conducted upon reentry
of any of the above when there has been a break in
service greater than 12 months. A precommission
NAC for an ROTC student is acceptable for ap-
pointment and clearance purposes even if the is-
vestigation is over 12 months old at time of ap-
pointment. The student must not have had a break
of more than 12 months in the academic progres-
sion from the date of investigation to time of ap-
pointment. If there is a break of more than 12
months in the academic progression between the
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3-
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an,
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in
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Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
1 February 1984 Mir
investigation and appointment, a new NAC is re-
quired. If an officer or warrant officer candidate
has been the subject of a favorable NAC or
ENTNAC and there has not been a break in service
of more than 12 months, a new NAC is not au-
thorized.
3-302 Reserve Components and National Uuard
Reserve Component and National Guard person-
nel not on active duty are subject to the investigative
requirements of this chapter.
3-303 Exceptions for Certain Commissioned Offic-
ers of Reserve Components
The requirements for entrance investigation shall
"uss. A.tt604-5
be rigidly adhered to except as follows. Health profes-
sionals, chaplains, and attorneys may be commis-
sioned in the Reserve Components prior to completion
of a NAC provided that: ?
a. A NAC is initiated at the time and application for
a commission is received; and
b. The applying health professional, chaplain, or at-
torney agrees in writing that, if the results of the in-
vestigation are unfavorable, he or she will be subject to
discharge if found to be ineligible to hold a commis-
sion. Under this exception, connuissions in Reserve
Components other than the National Guard may be
tendered to immigrant alien health professionals,
chaplains, and attorneys.
Section 4
SECURITY CLEARANCE
3-400 General
Military personnel, DoD civilian personnel, and
persons who are employed by or serving in a consult-
ant capacity to the DoD, may be considered for access
to classified information when such access if required
in connection with official duties. Such individuals
may be granted either a final or interim personnel
security clearance provided .the investigative require-
ments set forth below are complied with, and provided
further that all information has been adjudicated and
a finding made that such clearance would be clearly
consistent with the interests of national security.
3-401 Investigative Requirements for Clearance (US
citizens).
a. Top Secret
(1) Requirement for final clearance
(a) Civilian employee and consultants: BI.
(b) Military: BI. (Top Secret clearances
granted before the date of the original issuance of
this regulation based on a NAC plus 10 years con-
tinuous, active, honorable service will not require
initiation of a EL')
(2) Requirement for interim clearance
(a) Civilian employees and consultants: NAC
provided that a BI has been requested (see paragraphs
3-800 and 3-204).'
(b) Military: NACTENTNAC provided that a BI
has been required (see paragraph 3-800).'
b. Secret
(1) Requirements for final clearance
(a) Civilian employees and consultants: NACI
'The final or interim clearance may be issued only after person-
nel, base/military police, medical, and security records have been re-
viewed with favorable results. The Dcn check may be either tele-
phonically or in writing by the DoD Component organization
authorized to request personnel security investigation. If the
check reveals the existence of an investigative file must be re-
viewed favorably by the element designated by the component
to adjudicate personnel investigations.
conducted by OPM or an advance NAC conducted by
DLS in connection with a BI or SBL except for sum-
mer hires who may be granted final clearance on the
basis of a favorably completed NAC conducted by DIS.
(b) Military: NAC or ENTNAC.'
(2) Requirements for interim clearance '
(a) Civilian employees and consultants: NACI
has been initiated and an authority designated in ap-
pendix F finds that a delay in such appointment and
issuance of clearance would be harmful to the na-
tional security and makes a record of such finding (see
paragraph 3-800 and 3-204).'
(b) Military: A check of the Defense Central In-
dex of Investigations (DCII).'
c. Confidential
(1) Requirements for final clearance
(a) Civilian employees and consultants: NACI
conducted by OPNI; or an Advance NAC conducted
by DIS in connection with a BI or SBI; except for
summer hires who may be granted final clearance on
the basis of a favorably completed NAC conducted
by DLS.
(b) Military: NAC or ENTNAC.
(2) Requirements for interim clearance
(a) Civilian employees and consultants:
/ NAC portion of a NACI.
2 NACI has been initiated and an authority
designated in appendix F finds that a delay in issuing
the clearance would be harmful to the national secu-
rity and makes a record of such finding (see paragraph
3-800 and 3-204).'
(b) Military: A check of the DCH and local per-
sonnel files.'
d.Ii_aterim security clearances.
rJee6r41fied in paragraph 3-800 may grant
rterthTrsonnel security clearances. The exceptions
stated in paragraph 3-204 apply only tergency
appointment of civilian employees, not the grantinof
interim security c_earances.
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A n an4-5
Declassified and Approved For Release 2013/01/29
3-402 Security Clearance1111, Non-United States
Citizens
Subject to the general policy stated in paragraph
2-100 of this Regulation, the following applies:
a. Immigrant Aliens
(1) An immigrant alien may be granted only a fi-
nal Secret or Confidential clearance upon completion
of a BI (scoped for 15 years) provided that it discloses
no derogatory information relating to?the criteria set
forth in paragraph 2-200 of this Regulation indicating
that such access would not be clearly consistent with
the interests of national security. Neither Top Security
nor interim Secret clearance is authorized. Interim
clearance for Confidential is authorized in emergency
situations provided that (1) a personal interview is con-
ducted by an investigator, personnel security, or coun-
terintelligence specialist with favorable results, (2) a
NAC is completed with favorable results, and (3) the
required BI has been initiated. A polygraph examina-
tion may be conducted under AR 195-6 (ref (n)) to
verify information that cannot be verified
through other investigative means. The examina-
tion is strictly voluntary and the person must give
written consent.
(2) When a individual is admitted to the United
States for a permanent residence, there is established
a presumption that there has been a change of national
allegiance from the native country to that of the
United States. When an individual becomes eligible
for citizenship but elects not to become a citizen, the
presumption of primary national allegiance to the
United States is placed in doubt. Accordingly, if an
immigrant alien does not become a citizen within 12
months after becoming eligible for citizenship, any
personnel security clearance shall be administratively
reviewed by the person's commander to determine if
it is clearly consistent with the national security to
continue the clearance. Non-U.S. citizens currently
holding clearances who are eligible for U.S. citizenship
may continue to have the clearance for a period of 12
months after which their status will be reviewed by
the commander to determine continuing need in ac-
cordance with this Regulation.
b. Nonimmigrant Aliens (Foreign Nationals)
Aliens, other than those covered in a. above, shall
not be granted personnel security clearances.
3-403 Limited Access Authorizations for Non-
United States Citizens
Every effort shall be made to insure that non-
United States citizens are not employed in duties that
require access to classified information. Commanders
will attempt to fill any vacant or newly created
position that requires access to classified informa-
tion first with US citizens (military personnel, ci-
vilian employees, their family members if quali-
CIA-RDP90-00530R000501000004-7 _hen qualified
Ilea or cumput;Lut a LI
immigrant aliens. If the position cannot be filled
with a clearable US citizen or immigrant alien, the
commander may then consider requesting an LAA
for a foreign national. However, v4.. hen it is deter-
mined that employment of a non United States citizen
in duties requiring access to certain classified informa-
tion relating to a specific program is necessary in fur-
thering the mission of the Department of Defense and
when such access is clearly consistent with the inter-
ests of national security F,2.ah an individual may be
granted a "Limited Access Authorization" for classi-
fied information relating to that program under the
following conditions:
a. In each case, there shall have been completed
with favorable results a BI (scoped for 15 years). If
geographical and political situations prevent the full
completion of a BI, as prescribed by paragraph 2-302
of this regulation, aceess shall not be authorized unless
the investigative information obtainable is sufficiently
complete and reliable to enable the authority empow-
ered to grant access to determine that such access is
clearly consistent with the interests of national securi-
ty. A polygraph exaAnination may be conducted to
cover that portion of the individual's life which
cannot be investigated because of geographical,
political, or other considerations, provided the
person consents in writing. Non-US persons who
refuse to be polygraphed will mit be granted an
LAA.
b. Limited Access Authorizations to Top Secret in-
formation shall be kept to the minimum consistent
with the requirements of national security and may be
granted only upon the written and personal authoriza-
tion of the authorities designated in paragraph B, ap-
pendix F. In each case of granting such access, a record
of the authorization shall be made to include:
(1) The identity of the individual to whom access
is granted;
(2) The specific nature and description of the
material to which access is authorized; and
(3) The reasons for granting the access authoriza-
tion. A report of each determination granting a Limit-
ed Access Authorization to Top Secret information
shall be furnished, through the OACSI, to the Deputy
Under Secretary of Defense for Policy Review.
c. Limited Access Authorizations to Secret and
Confidential information may be granted by officials
designated by those authorities specified in para-
graphs B.2. and 3., appendix F. Each case approved
shall be made a matter of official record and will con- I
tain that information required by b, above.
(1) The appropriate authority, upon granting
an LAA, will prepare DA Form 3028-R (Limited
Access Authorization). DA Form 3028-R will be
reproduced locally on 81/2 by 11 inch paper. A copy
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dical
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b-eolassified-a-rid Approved For Release 2013/01/29:
IIP
vestigative requirement for personnel performing
such duties is:
(1) Critical Position: IN. In the event that it be-
comes necessary to consider an individual for a critical
position and the required BI has not been completed,
interim certification may be made under carefully con-
trolled conditions as set forth below.
(a) The individual has had a favorable NAC (or
ENTNAC) within the past 5 years without a break in
service or employment in excess of 1 year.
(b) The BI 'nab been requested.
(c) All other requirements of the PRP screening
process have been fulfilled.
(d) The individual is identified to supervisory
personnel as being certified on an interim basis.
(e) The individual is not used in a two-man team
with another such individual.
(f) Justification of the need for interim certifi-
cation is documented by the certifying official.
(g) Should the BI not be completed within 150
days from the date of the request, the certifying offi-
cials shall query the Component clearance authority
who shall ascertain from DIS the status of the investi-
gation. On the basis of such information, the certify-
ing official shall determine whether to continue or to
withdraw the interim certification.
(2) Controlled Position: NAC.
(a) An ENTNAC completed for the purpose of
first term enlistment or induction into the Armed
Forces satisfies this requirement.
(b) Interim certification is authorized for an in-
dividual who does not meet the requirement of a cur-
rent ENTNAC/NAC, i.e., completed within the past 5
years, subject to the following conditions:
I The individual has had a favorable
ENTNAC/NAC, or higher investigation, that is more
than 5 years old and has not had a break in service or
employment in excess of 1 year.
2 A new NAC has been requested.
3 All other requirements of the PRP screen-
ing process have been fulfilled.
4 Should the ENTNAC/NAC not be com-
pleted within 90 days from the date of the request, the
procedures set forth above for ascertaining the delay
of the investigation in the case of a critical position
shall apply.
(3) Additional requirements apply:
(a) The investigation upon which certification is
based must have been completed within the last 5
CIA-RDP90-00530R000501000004-7
years from the date of initial assignment to a PRP po-
sition and there must not havibeen a break in service
or employment in excess of 1 year between completion
of the investigation and initial assignment.
(b) In those cases in which the investigation was
completed more than 5 years prior to initial assign-
ment or in which there has been a break in service or
employment in excess of 1 year subsequent to cornple
tion of the investigation, a reinvestigation is required.
(c) Subsequent to initial assignment to the PRP,
reinvestigation is not required so long as the individ-
ual remains in the PRP.
(d) A medical evaluation of .the individual as set
forth in DoD Directive 5210.42 (AR 50-5) (reference
(q)).
AR 604-5
(e) Review of the individual's personnel file and
other official records and information locally available
concerning behavior or conduct which is relevant to
PRP standards.
(f) A personal interview with the individual for
the purpose of informing him of the significance of the
assignment, or reliability standards and of the need
for reliable performance, and of ascertaining his atti-
tude with respect to the PRP.
3-505 North Atlantic Treaty Organization (NATO)
Staff
a. A BI, scoped to cover the last 10 years of the indi-
vidual's life, shall be favorably completed on United
States military and civilian personnel within 5 years
prior to assignment to the NATO staff if the duty po-
sition requires access to NATO COSMIC (TOP
SECRET) information. Otherwise, assignment to
NATO staff positions require only a NAG'
ENTNAC completed within the past 5 years.
b. A security clearance is not required for ac-
cess to NATO RESTRICTED information. AR
380-15 (ref (ss)) applies.
3-506 Other Special Access Programs
Special investigative requirements for Special Ac-
cess programs not provided for in this paragraph may
not be established without the written approval of the
Deputy Under Secretary of Defense for Policy Review.
3-507 Automated Data Processing (ADP) Posi-
tions
A favorable ENTNAC, NAC, or NACI, as a min-
imum, is required for personnel in ADP positions.
AR 380-380 (ref (uu)) applies.
Section 6
CERTAIN POSITIONS NOT NECESSARILY REQUIRING ACCESS
TO CLASSIFIED INFORMATION
3-800 General
DoD Directive 5200.8 (AR 380-20) (reference (r))
outlines the authority of military commanders under
the Internal Security Act of 1950 to issue orders and
regulations for the protection of property or places un-
der their command. Essential to carrying out this re-
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' AR 694-5
,
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sponsibility is a commander's need to otect the com-
mand against the action of untrustworthy persons.
Normally, the investigative requirements prescribed
in this Regulation for access to classified information
should suffice to enable a commander to determine the
trustworthiness of individuals whose duties require ac-
cess to classified information or appointment to posi-
tions that are sensitive for reasons not involving such
access. However, there are certain categories of posi-
tions or duties which, although not requiring access to
classified information, if performed by untrustworthy
persons, could enable them to jeopardize the security
of the command or otherwise critically endanger the
national security. The investigative requirements for
such positions or duties are detailed in this section.
3-601 Unescorted Entry of DoD Contractor Employ-
ees to Restricted Areas
a. Normally entry into restricted areas shall be lim-
ited either to persons who have undergone the appro-
priate security investigation 4-ieto other persons who
are under the escort of appropriately cleared person-
EIZTwever, contractor employees requiring regular
(at least weekly) access to restricted areas, whose du-
ties do not otherwise require access to classified infor-
mation, may be afforted such unescorted entry when
the critical importance of a commander's mission to
national security and its vulnerability to sabotage re-
quire a determination as to the trustworthiness of
such persons. In those cases, at least a NAC shall be
completed prior to permitting such unescorted entry.
b. Requests for investigation under the provisions
of this paragraph should be kept to a minimum. In
those instances considered to meet this limited criter-
ion, the Component concerned shall request approval
of the Deputy Under Scretary of Defense for Policy Re-
view for authority to request NACs on those contrac-
tor employees requiring unescorted entry to a re-
stricted area. A detailed justification shall accompany
the request, clearly detailing the importance of the
command's mission to national security, its suscepti-
bility to sabotage, and the need for unescorted entry.
Requests will be submitted by the installation
commander through command channels to
HQDA(DAMI-CIS) WASH DC 20310.
3-602 Nonapprooriated Fund Employees
i a. All Nonappropriated Fund Instrumentalities per-
sonnel employed by DoD, as part of the employment
' requirements of reference (s), shall have been the sub-
ject of a NAC favorably completed no longer than the
12 months prior to employment or a favorable prior in-
vestigation with no break in Federal service greater
1 than 12 months.
b. If a Nonappropriated Fund employee re-
quires a security clearance, the commander of the
host installation will request issuance of a person-
nel security clearance from CCF.
III-8
3-603 Customs Inspectors
DoD employees appointed as customs inspectork
under waivers approved in accordance with D00
5030.49-R (AR 190-41) (reference (t)), shall have tuti
dergone a NAC favorably completed within the past5
years unless there has been a break in DoD employ-
ment greater than 1 year in which case a current NAC
is required.
3-604 Red Cross/United Service Organizations
(USO) Personnel
a. A NAC shall be favorably completed on Red
Cross or United Service Organizations personnel u
prerequisite for assignment with the Armed Forces
overseas (DoD Directive 5210.25 (AR 380-49) (refer-
ence (u)).
b. NACs on Red Cross or USO employees will be
processed by the Defense Industrial Security
Clearance Office UP DoD 5210.25, (AR 280-49)
(ref (u)).
c. If a Red Cross or USO employee requires a se-
curity clearance, the commander of the host in-
stallation will request issuance of a personnel se-
curity clearance from CCF.
d. NAC provisions of a and b above do not apply
to foreign nationals employed by the Red Cross or
USO. Determinations for this category of employ-
ee will be governed by local hiring policies and
procedures.
3-605 Officials Authorized to Issue Security Clear-
ances
Any person authorized to issue personnel security
clearances shall have been the subject of a favorably
complete BI.
3-605.1 Officials Authorized to Grant Access to
SCI
Any person authorized to grant access to SCI ?
will have been the subject of a favorably com-
pleted SIN.
3-606 Personnel Security Clearance Adjudication
Officials
Any person selected to serve with a board, com-
mittee, or other group responsible for adjudicating
personnel security cases shall have been the subject of
a favorably completed BI.
3-607 Persons Requiring DoD Building Passes
Pursuant to DoD Directive 5210.46 (AR 380-4)
(reference (v)), each person determined by the desig-
nated authorities of the Components concerned as hav-
ing an official need for access to DoD buildings in the
National Capitol Region shall be the subject of a favor-
able NAC prior to issuance of a DoD building pass.
3-608 Foreign National Employees Overseas Not
Requiring Access to Classified Information
Foreign nationals employed by DoD organizations
nel
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.AR60.4'-1
?
and other special security measures. In such instances,
a Component Senior Intelligence Officer may, with the
approval of the Deputy Under Secretary of Defense for
Policy Review, request PRs at intervals of less than 5
years with greater scope of coverage than that set
forth in Appendix B. Such requests shall include jus-
tification and a recommendation as to the frequency
and scope. The frequency and scoping of such PRs
shall be determined by the Deputy Under Secretary of
Defense for Policy Review with due consideration for:
a. The potential damage that might result from the
individual's defection or abduction.
Declassified
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1 February
b. The availability and probable effectiven
means other than reinvestigation to evaluate f
concerning the individual's suitability for contin
SCI access.
3-707 Foreign Nationals Employed by DoD 0
izations Overseas
Foreign nationals employed by DoD organizatinna
overseas who have been granted a "Limited Access
thorization" pursuant to paragraph 3-403 shall be tha
subject of a PR, on a 5-year basis scoped as set forth la
Appendix B.
Section 8
AUTHORITY TO WAIVE INVESTIGATIVE REQUIREMENTS
3-800 Auth6rized Officials
Only clesignatecritipar-agraph-A, Appen-
dix F, designee, s empowerekto waive the investi-
gative re entsrfor access to classifiediriforrna-
tion endin completion of the- investyatiiiii-required
by this c apter. Such waiver shall be Figed- upon
-
certification -in -writin ied "official that
.such a tion is:necessary to the'natiaairsecurity. How-
ever, when all other information developed on an indi-
vidual during,the course of-a-prescnbedinvestigation
is faVorable, a minor investigative element that has
not been met should not preclude favorable adjudica-
tion?nor should this require a waiver.
3-801 Combat Operations
-10
Under combat conditions,-.mobilization ovri
similar military exigencies, authorities listed in
appendix F, to protect national security, may;
waive such provisions of this regulation as an
operationally necessary and warranted by the ca.
cumstances. In all such cases, the commander in.
stituting the waiver will insure that the investigar
tive or other prerequisites waived are complied
with as soon as circumstances permit. Notification
of interim clearances granted under this para.
graph will be made to Commander, US Army Cert.
tral Personnel Security Clearance Facility, ATTN:t4
PCCF-PRR, Fort Meade, MD 20755. V
A
1000004-7
Fnr Release 2013/01/29 : CIA-RDP90-00530R00050
iriOUS
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ILAN 14k2AINN Witt,/
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1 February 1984
CHAPTER V
REQUESTING PERSONN
5-100 General
Requests for personnel security investigations
shall be submitted only by those requesters designated
in 5-101 below. Those authorities are responsible for
determining if persons under their jurisdiction require
personnel security investigation. Proper planning
must be affected to insure that investigative requests
are submitted sufficiently in advance to allow comple-
tion of the investigation prior to the time it is needed
to grant the required clearance or otherwise make the
necessary personnel security determination. If no sig-
nificant derogatory information is developed during
the course of the investigation, it can be expected that
a NAC/ENTNAC will take approximately 30 days to
complete, an SBI or a BI approximately 90 days, and a
PR 75 days (this is the time begir ning with the receipt
of the request by DIS to the mailing of the completed
investigation by DIS to the requester).
5-101 Authorized Requesters
Requests for personnel security investigation shall
be accepted only from the requesters designated be-
low:
a. Military Departments
(1) Army
(a) Central Clearance Facility.
(b) All activity commanders.
(c) Chiefs of recruiting stations.
(d) State Adjutants General for Army Na-
tional Guard.
(2) Navy (including Marine Corps)
(a) Commanders and commanding officers of or-
ganizations listed on the Standard Navy Distribution
List.
(b) Chiefs of recruiting stations.
(3) Air Force
(a) Chief, Personnel Security Division, HQ,
USAF.
(b) Assistant Chief of Staff for Intelligence.
(c) All activity commanders.
(d) Chiefs of recruiting stations.
b. Defense Agencies?Directors of Security and ac-
tivity commanders.
c. Organization of the Joint Chiefs of Staff?Chief,
Security Division.
d. Office of the Secretary of Defense?Director for
Personnel and Security, Washington Headquarters
Services
e. Commanders of Unified and Special Commands
or their designees.
f. Such other requesters approved by the Deputy
Under Secretary of Defense for Policy Review.
5-102 Criteria for Requesting Investigations
AR 604-5
INb
Authorized requesters shall use the tables set
forth in Appendix D to determine the types of investi-
gation that shall be requested to meet the inves-_iL-a-
tive requirement of the specific position or duty con-
cerned.
5-103 Request Procedures
To insure efficient and effective completion of re-
quired investigations, all requests for personnel se-
curity investigations shall be prepared and forwarded
in accordance with Appendix C hereto and the investi-
gative jurisdictional policies set forth in Section 4,
Chapter II of this Regulation.
5-104 Priority Requests
To insure that personnel security investigations
are conducted in an orderly and efficient manner, re-
quests for priority for individual investigations or
categories of investigations shall be kept to a mini-
mum. DIS shall not assign priority to any personnel se-
curity investigations or categories of investigations
without written approval of the Deputy Under Secre-
tary of Defense for Policy Review.
5-105 Personal Data Provided by the Subject of
the Investigation
a. To conduct the required investigation, it is neces-
sary that the investigative agency be provided certain
relevant data concerning the subject of the investiga-
tion. The Privacy Act of 1974 (reference (k)) requires
that, to the greatest extent practicable, personal infor-
mation shall be obtained directly from the subject indi-
vidual when the information may result in adverse de-
terminations affecting an individual's rights, benefits,
and privileges under Federal programs.
b. Accordingly, it is incumbent upon the subject of
each personnel security investigation to provide the
personal information required by this Regulation. At a
minimum, the individual shall complete the appro-
priate investigative forms, provide fingerprints of a
quality acceptable to the FBI, and execute a signed re-
lease (DD Form 2221 (DoD Authority for Release
of Information and Record)), as necessary, authoriz-
ing custodians of police, credit, education, employ-
ment, and medical and similar records, to provide rele-
vant record information to the investigative agency.
When the FBI returns a fingerprint card indicating
that the quality of the fingerprints is not acceptable,
an additional set of fingerprints will be obtained from
the subject. In the event the FBI indicates that the
additional fingerprints are also unacceptable, no
further attempt to obtain more fingerprints will be
made; this aspect of the investigation will then be
processed on the basis of the name check of the FBI
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AP gnA_c
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files. As an exception, a minimum of three attempts
will be made (1) for all Presidential Support cases, (2)
for SCI access nolninations if the requester so indi-
cates, and (3) in those cases in which more than minor
derogatory information exists. Each subject of a per-
sonnel security investigation conducted under the
provisions of this Regulation shall be furnished a Pri-
vacy Act Statement (Supplement to the DD Form 398,
26 September 1975) advising of (1) the authority for
obtaining the personal data, (2) the principal pur-
pose(s) for obtaining it, (3) the routine uses, (4)
whether disclosure is mandatory or voluntary, and (5)
the effect on the individual if it is not provided.
c. Refusal to provide or Permit access to the rele-
vant information required by this Regulation shall re-
sult in the termination of further administrative pro-
cessing, and no requests for investigation shall be
made.
V-2
1 February 198
CIA-RDP90-00530R000501000004-7
5-106 Wicellation of Requests for Invest'
tions and/or learances
a. Whenever a clearance or investigation is n
longer ' required, requesters will immediatel
notify the Commander, CCF. Cancellations will in
elude full identifying data, action requested, an
the reason for the. cancellation. CCF will notif
the investigative agency involved.
b. If' the cancellation is requested because th
individual is transferred, include the effective
data and new unit of assignment. If the individual
has departed for a new assignment prior to the Se-
curity Officer being notified of the transfer, th
losing command will advise the gaining command
of the open investigation by letter or message.
c. If the individual is separated from active
duty, indicate whether he/she was discharged or
released from active duty, and the basis for the
separation action.
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1 February 1984 Ail 604-5'
CHAPTER VI
ADJUDICATION
6-100 General
a. The standard which must be met for clearance or
assignment to sensitive duties is that, based on all
available information, the person's j_ozalt.
and .tri.js_tai.??rthiness are such that entrusting the per-
son Zth clasZTreTiiii r-cin=i or assigning the person
to sensitive duties is clearly consistent with the in-
terests of national security.
b. The principle objective of the DoD personnel se-
curity adjudicative function, consequently, is to assure
selection of persons for sensitive positions who meet
this standard. The adjudication process involves the
effort to assess the probability of future behayior
zijdnh..czild have t a. -rse t. ? - ? - 'o? ? se:
_eur'vty-.-Since few, if any, situations allow for positive,
7 conclusive evidence of certain future conduct, it is an
sttempt to judge whether the circumstances of a par-
ticular case, taking into consideration prior experience
with similar cases, reasonably suggest a degree of
probability of prejudicial behavior not consistent with
the national security. It is invariably a subjective de-
termination, considering the past but necessarily an-
ticipating the future. Rarely is proof of trustworthi-
ess and reliability or untrustworthineflTh
liabihry-Wfo/rearfelsonable doubt.
c. Establishing relevancy is one of the key objectives
of the personnel security adjudicative process in
evaluating investigative material. It involves neither
the judgement of criminal guilt nor the determination
of general suitability for a given position; rather, it is
the assessment of a person's trustworthiness and fit-
ness for a responsibility which could, if abused, have
unacceptable consequences for the national security.
d. While equity demands optimal uniformity in
evaluating individual ,cases, assuring fair and consis-
tent assessment of circumstances from one situation to
the next, each case must be weighed on its own merits,
taking into consideration all relevant facts, and prior
experience in similar cases. All information of record,
both favorable and unfavorable, must be considered
and assessed in terms of accuracy, completeness, rele-
vance, seriousness, and overall significance. In all
adjudications the protection of the national security
shall be the paramount determinant.
6-101 Central Adjudication
a. To assure uniform application of the require-
ments of this Regulation and to insure that DoD per-
sonnel security determinations are effected consistent
with existing statutes and Executive Orders, the head
of each DoD Component, to the extent practicable,
shall establish a single Central Adjudication Facility
for his/her Component. The function of such facility
shall be limited to evaluating personnel securi:
vestigations and cases and making personnel secur:ty
determinations. The chief of each Central Adjudica-
tion Facility shall have the authority to act on behalf
of the head of the Component concerned with respect
to personnel security determinations. All information
relevant to determining whether a person meets the
appropriate personnel security standard prescribed by
this Regulation shall be reviewed and evaluated by
specialists specifically designated by the head of the
Component concerned, or designee.
b. The US Army Central Personnel Security
Clearance Facility is designated as the Central
Adjudication Facility for DA.
6-102 Evaluating Personnel Security Information
a. The criteria to be used in applying this policy are
set forth in paragraph 2-200 of this Regulation. The
ultimate consideration in making a favorable per-
sonnel security determination is whether such deter-
mination is clearly consistent with the interests of na-
tional security and shall be an overall commonsense
evaluation based on all available information. Such de-
termination shall include consideration of the follow-
ing factors:
(1) The nature and seriousness of the conduct;
(2) The circumstances surrounding the conduct;
(3) The frequency and recency of the conduct;
(4) The age of the individual;
(5) The voluntariness of participation; and
(6) The absence or presence of rehabilitation.
b. Guidelines to assist adjudicators in determining
whether a person is eligible for access to classified in-
formation or assignment to sensitive duties are con-
tained in appendix I.
c. Allegations, charges, or other derogatory in-
formation against a person which meets the cri-
teria of paragraph 2-200 will be forwarded to
CCF for a security determination. CCF will
evaluate the information to determine if reten-
tion, denial, or revocation of a personnel security
clearance and/or SCI access is clearly consistent
with the interests of national securit . If a se-
curity c earan 1 n cu e ect, CCF
will retain the information for review in any
future security clearance request.
6-103 Adjudicative Record
The rationale underlying each adverse adjudica-
tive action shall be reduced to writing and is subject to
the provisions of DoD Directive 5400.7 (AR 340-17)
(reference (y)) and DoD Directive 5400.11 (AR
340-21) reference (z)). The Commander, CCF, will
maintain a record of each adjudicative action.
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6-104 Reporting ResulNirf Security or Suitabil- ploying agility. The report of action taken will be
ity Determinations For Civilian Employees forwarded within 30 days after the final deter.
Theresults of a security or suitability deter- mination has been made. Reports should-be sent
mination, based on the results of an initial BI or to: Chief, Investigations Evaluation Branch,
SBI, will be. sent-OPM.oh-SF 72 (Report of Action United States Office of Personnel Management,
After Agency Full Field Investigation) by the ern- Washington, DC 20415.
VI-2
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FAR
CHAPTER VII
ISSUING CLEARANCE AND GRANTING ACCESS
7-100 General
a. The issuance of a personnel security clearance (as
well as the function of determining that an individual
is eligible for access to Special .Access program infor-
mation, or is suitable for assignment to sensitive du-
ties or such other duties that require a trustworthiness
determination) is a function distinct from that/involv-
ing the granting of access to classified inf?ormation.-
b. Only the authorities designated in\Appendix F)
are authorized to issue personnel security clearances or
to grant Special Access Authorizations.
c. All commanders and heads of DoD organizations
have the responsibility for determining those position
functions in their jurisdiction that require access to
classified information and the authority to grant ac-
cess to incumbents of such positions who have been
cleared under the provisions of this Regulation.
7-101 Issuing Clearance
a. Authorities designated in Appendix F shall re-
cord the issuance of a personnel security clearance.
This record shall become a permanent part of either an
individual's military personnel file or official person-
nel folder which shall be retained throughout the peri-
od of service or employment.
b. A personnel security clearance remains valid un-
til (1) the individual is separated from the Armed
Forces, (2) separated from DoD civilian employment,
(3) has no further official relationship with DoD, or (4)
official action has been taken to suspend or revoke the
clearance. If an individual:resumes the original status
of (1), (2) or (3) above, and the break in the individual's
relationship with DoD has been not longer than 12
months, clearance may be reissued provided no signifi-
cant derogatory information is available.
c. The clearance of any individual, civilian or mili-
tary, shall be issued only by the designated authorities
of the parent Military Department or Defense agency.
Issuance or reissuance of a personnel security clear-
ance by a Military Department or Defense agency to
personnel of another department or agency who have
been detailed or assigned to a tour of duty with the re-
ceiving department or agency is not authorized. As an
exception, commanders may issue interim clearances
to personnel under their administrative jurisdiction,
pending a final eligibility determination by the in-
dividual's parent department or agency. Whenever a
receiving department, agency, or organization issues
an interim clearance to an individual from another de-
partment or agency, written notice of the action shall
be provided to the parent department or agency.
d. Interim clearance shall be recorded in the same
manner as final clearance.
e. The ACSI and Commander, CCF, ar desig-
nated as officials authorized to grant, revoke, or
deny personnel security clearances (TOP SECRET,
SECRET, and CONFIDENTIAL).
f. The Commander, CCF, will publish proce-
dures, with the concurrence of I-IQDA(DAMI-CIS),
for requesting final personnel security clearance,
anting interim clearances and reporting derog
ory information for all Army personnel. Author-
y to grant interim clearances will delegated to
field commaiia'ers li}r?fre-Commander, CCF. The
r.acedures are at Annex A to Appendix C.
g. Personnel security clearances will be recorded on
DA Form 873 (Certificate of Clearance and/or Security
Determination Under EO 10450). This form will be
placed in the person's personnel records folder and will
not be removed except to make a copy, correct an ad-
ministrative error or by direction of CCF.
7-102 Granting Access
a. Access to classified information shall be granted
to persons whose official duties require such access
and who have the appropriate personnel security clear-
ance. Access determinations (other than for Special
Access Programs) are not an adjudicative function re-
lating to an individual's suitability for such access.
Rather they are decisions made by the commander
that access is officially required.
b. In the absence of derogatory information on the
individual concerned, DoD commanders and organiza-
tional managers shall accept a personnel security
clearance determination, issued by the DoD authority
authorized by this Regulation to issue personnel secu-
rity clearances, as the basis for granting access, when
access is required, without requesting additional in-
vestigation or investigative files.
c. Commanders will insure that persons are
familiar with the requirements for handling
classified information before access is granted.
AR 380-5 (ref (o)) and AR 381-12 (ref (vv)) apply.
d. Once a person's security clearance has been
granted by the Commander CCF, special access for
NATO, SIOP-ESI, or other programs, will be
granted by the commander responsible for their
control under appropriate Army regulations. The
Commander, CCF, will make all eligibility deter-
minations for SCI access.
e. Access to classified information or material
by persons of another service or agency may be
granted after verification of--
(1) Person's security clearance and/or access
(2) The commander's certification of "need to
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till 0 W1- IJ 1.984
know."
f. A person whose access to classified informa-
tion has been suspended under paragraph 8-102,
may have access restored pending review by CCF.
The following procedures apply to security clear-
ance and SCI access:
(1) The local commander who initially sus-
pended access?
(a) Strongly recommends reinstatement of
access and is completely convinced the element of
a risk no longer remains.
(b) Determines that the person has been
cleared of all charges. Restoration of access will
?not normally occur in those cases where factors
such as dismissal of charges, acquittal because of
legal technicalities, plea bargaining, and absence
of a speedy trial, are involved. These factors can-
not be construed as a clearing of all charges.
(c) Determines that the alleged offense or
derogatory information has been disproven or
found groundless. The commander's investigation
resulted in a finc4ing that there is no basis for the
charges or derogatory information.-
(d) May grant interim security clearance in
the name of the Commander, CCF.
(e) Will notify CCF of the above actions.
(2) In cases where the local commander is con-
sidering suspending or has suspended a person's
access due to a suspected or actual psychological
problem, he or she may elect to retain the person
in status or reinstate access under the following
conditions:
(a) A current medical evaluation indicates
the condition was a one-time occurrence.
(b) The condition has no lasting effects on
the person that would affect judgement.
VII -2
(c) There is no_ requirement for _further
medical consultation relating to the condition.
(d) The examining physician recommends
the person be returned to full duty status.
(e) The person exhibits no unacceptable be-
havior after the favorable medical evaluation.
(f) The local commander firmly believes the
person does not pose a risk to the security of
classified information.
(g) Only CCF may reinstate access where the
person attempted suicide.
(3) If the local commander has any doubts
about the person's current acceptability for ac-
cess, even though the above provisions have been
met, the case will be referred to CCF for a deci-
sion.
7-103 Administrative Withdrawal
As set forth in paragraph 7-101.b., personnel
security clearances continue on a relatively permanent
basis. Consequently, there is no need for administra-
tive withdrawals unless a situation described in
7-101.b.(1), (2), or (3) occurs.
7-104 Security Clearance of Separated DA Per-
sonnel
a. Clearance granted under this Regulation be-
comes invalid upon termination of the individual's
service with the Army.
b. Retired general officers may participate in
classified conferences, or a particular activity or
project, under the supervision and at the request
of one of the officials designated in appendix F.
This is true-so long as clearances in effect at the
time or retirement are adequate for the particular
conference, activity, or project. These clearances
remain valid for this purpose unless terminated by,
the ACSI, DA.
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er
is
ts
c-
r
S ?
r.
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J. r CUI uta J-JUY
vfi"1
CHAPTER VIII
ADVERSE ACTIONS
Section I
REQUIREMENTS
8-100 General
For the purpose of this Regulation, an adverse ac-
tion includes:
a. Denial or revocation of clearance for access to
classified information;
b. Denial or revocation of access to classified infor-
mation;
c. Denial or revocation of a Special Access author-
ization (including access to SCI);
d. Nonappointment to or nonselection for appoint-
ment to a sensitive position;
C. Nonappointment to or nonselection for any other
position requiring a trustworthiness determination
under this regulation;
. Rea.ssi-nment to a position of lesser sensitivity or
to a nonsensitive position;
g. Termination of employment; and
h. Nonacceptance for or discharge from the Armed
Forces, when any of the foregoing actions are taken as
the result of a personel security determination.
8-101 Referral for Action
a. Whenever derogatory information relating to the
criteria set forth in paragaph 2-200 of this Regulation
is developed or otherwise becomes available to any
DoD element, it shall be referred by the most expedi-
tious means to the commander or the security officer'
of the organization to which the individual is assigned
for duty. The commander of the organization to which
the subject of the information is assigned shall review_
the information in terms of its security significance
and completeness. If further information is needed to
confirm or disprove the allegations, additional investi-
gation should be' requested.. The commander of the
duty organization shall insure that the parent Compo-
nent of the individual concerned is informed promptly
concerning (1) the derogatory information developed
and (2) any actions taken or anticipated with respect
thereto.
b: Derogatory information on military and ci-
vilian personnel, to include contractors when SCI
access is authorized, will be reported as follows: -
(1) The Security Manager will forward the
derogatory information to the person's command-
er for review.
(2) The Security Manager will provide CCF a
copy of the derogatory information for review. If
a security clearance or SCI access is in effect, or
has been requested, CCF will review the deroga-
tory information to determine if denial or revoca-
AR 604-,
tion action is warranted.
c. Derogatory information on contractor ein-,
ployees will be forwarded to the Defense Indus-
trial Security Clearance Office according to CoP
5220.22-R (AR 380-49)(ref a) for action. If act
to SCI is involved, the derogatory informati9n
will be forwarded to CCF for review to determLae
if suspension or revocation of access eligibility
warranted.
d. Unfavorable information on military person-
nel, grade E-6 and above, will be referred to the
DA Suitability Review Board. The Board will de-
termine if the information Will be included in thc
OMPF. AR 600-37 (ref (u)) applies.
8-102 Suspension
a. The commander of the duty organization shall
determine whether, on the basis of all the facts avail-
able upon receipt of the initial dero ato information.
it is in the interests o national security to continue
subject's statuSigi=iged-RST-CO-TaT-i.e interim action tc
suspend subject's access to classified information or as-
signment to sensitive duties (or other duties requiring
a trustworthiness determination) until a final deter-
mination is made by the appropriate authority desig-
nated in Appendix F.
b. Commander, CCF, will 'publish procedures,
with the concurrence of IIQDA(DAMI-CIS), to pro-
vide for suspension of access to classified informa-
tion pending review of the derogatory informa-
tion. The procedures are at Annex A to Appendix
C.
c. In national security cases, a suspension action
(a nonduty and nonpay status) is normally accom-
plished whenever a letter of charges is delivered
to a civilian employee, if not in a suspended status
already. A suspension action in national security
cases will be for an indefinite period. If the letter
of charges is not delivered to the employee within
30 days after suspension without pay. (including
the first full day of the suspension), the authority
for continued suspension expires; it then beconie
? ? ? a a t Leave
without pay::ceyond the 30 diY pernid) would be
equivalent to suspension without pay and is not
authorized unless the employee consents in writ-
ing.
(1) The following remark will be entered in
the "Remarks" section of SF 50: "Immediate sus-
pension is deemed necessary and advisable in the
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Alt bU 4-
interest of national security pending adjudication
of your case under AR 604-5." Two copies of the
SF 50 will be immediately sent through command
channels to the Secretary of the Army (SA). This
will notify the SA of action in a national security
case. A copy of the SF 50 will be furnished HQDA
(DAMI-CIS).
(2) Suspension under authority of this Regula-
tion will not be used as a disciplinary action.
(3) The local commander is authorized to
terminate an emergency suspension from a non-
duty and nonpay status authorized by him or her
at any time before the letter of charges is issued
when it is determined that return to duty would
not be contrary to the interests of national secu-
rity.
(4) After a letter of charges has been formally
issued, only the SA may authorize a return to duty
for the employee.
8-103 Final Adverse Actions
The authority to make personnel security deter-
minations that will result in an adverse action is lim-
ited to those authorities designated in Appendix F, ex- .
cept that the authority to terminate a civilian employ-
ee of a military department is vested solely in the Sec-
retary of the military department concerned and in
such other statutory official as may be designated. Ac-
tion to terminate civilian employees of the Office of
8- 00 General
1 Fctirurvy,1984
the Secretary of Def6nse.and DoD Components other
than those of the military:ztlepartments shall be sub-
mitted to the Deputy UnderVcietary of Defense for
Policy Review for determination. DoD civilien employ.
ees or members of the Armed Forces shall not be re-
moved from employment or separated from the S,.:r
ice under provisions of this Regulation if removal c'.
separation can be effected under OPM regulations yr
administrative (nonsecurity) regulations of the mili-
tary departments.
8-104 Reporting Adverse Actions
a. Each adverse action taken by any DoD Compo
nent based on a personnel security investigation con-
ducted by DIS shall be reported to DIS. The Director,
DIS, shall insure that each adverse action is recorded
in the DCII. Further, the Director, DIS, will submit tc
the Deputy Under Secretary of Defense for Policy Re-
view analyses of adverse action annually, 90 days after
the completion of each fiscal year's operations.
b. CCF will report all adverse actions involving
security clearances and/or SCI access to DIS by
electronic means.
c. Local commanders Will report all adverse ac-
tions to DIS on DA Form 5249-R (Report of Ad-
verse or Unfavorable Action). DoD policy exempts
this form from a Reports Control Symbol. A copy
for reproduction purposes is located at the back of
this regulation.
Section 2
PROCEDURES
c_No final personnel Securit .-termination shall be
made on a mem ser of the Armed Forces, an emp oyee
of the Department of Defense, a consultant to the De-
partment of Defense, or any other person affiliated
with the Department of Defense without granting the
individual concerned the procedural benefits set forth
in 8-201 below/when such determination results in an
adverse action (see paragraph 8-100). As an exception,
Red Cross/United Service Organization employees
shall be afforded the procedures prescribed by DoD Di-
rective 5210.25 (reference (u)).
8-201- Adl:tr?e Action Procedures
Except a1ided for below, no adverse action
shall be tak-hle eer the authoritegulatioa_
unless the person concernedEas given:
a. A written statement of the reasons why the ad-
verse action is being taken. The statement shall be as
comprehensive and detailed as the protection of
sources afforded confidentiality under the provisions
of the Privacy Act of 1974 (5 U.S.C. 552a) (reference
(k)) and national security permit. Prior to issuing a
statement of reasons to a civilian employee for suspen-
sion or removal action, the issuing authority must
V111-2
comply with the provisions of Federal Personnel Man-
ual, Chapter 7?402) Subchapter 1, paragraph 1-6b (ref.
erence (aa));
b. An opportunity to reply in writing to such au;
thority as the head of the Component may designate;
c. A written response to any submission under sub-
paragraph b. stating the final reasons therefor, which
shall be as specific as privacy and national security
onsiderations permit; . e
d. An opportunity a eal to. ? ? ? level of au:
thority designated by the Component concerned.
e. The Commander, CCF, will publish proce-
dures, with the concurrence of HQDA(DAMI-CIS)
which allow persons to respond to proposed ad-
verse actions involving the denial or revocation of
personnel security clearances and/or access to SC!.
The procedures are at Annex A to a endix C.
f. The ACSI, HQDA, is the inal Appeal Author.
ity for DA for all appeals pertaining to personnel
security clearances and/or SCI access. All appeals
should be addressed to HQDA(DAMI-CIS), WASH,
DC 20310. It is not mandatory to appeal a CCF de
nial or revocation action. An appeal is an optiol
offered to the person. If the person elects to B4)".
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1 February 1984 AR 604-5
peal, the appeal must be submitted to OACSI with-
in 60 days notification of the final CCF decision.
The appeal may be sent directly to OACSI by the
person or may be forwarded through command
channels.
8-201.1 Adverse Action Procedures for DA Ci-
vilian Personnel in National Security
Cases.
The procedures described in this paragraph
are to be used when retention in DA may not be in
the interests of national security. In those cases,
the following procedures apply:
a. General.
(1) Authority to suspend and terminate em-
ployment of DA civilian personnel is vested in the
SA under Section 7532, Title 5, United States
Code.
(2) The use of the suspension and removal pro-
cedures authorized under Section 7532, Title 5,
United States Code, will be limited to cases in
which the interests of national security are in-
volved. The criteria of paragraphs 2-200 a
through f and m apply in national security cases.
(3) Nothing contained in this regulation will
be deemed to lirn_4 or affect the responsibility of a
commander tat reassign /persons to nonsensitive
?if) positions or dikties-when the interest ofiQj
'il,se.s.LaCtaxequirs the reassignment.
0 (4) No classified information, any other infor-
mation which might compromise investigative
sources or methods or the identity of confidential
informants will be disclosed to any person not au-
thorized to receive the information in these cases.
(5) Initial evaluations or derogatory informa-
tion are the responsibility of the local commander.
Evaluations will be based on derogatory informa-
tion, the duties of the employee involved, and the
mission and operations of the employing activity.
Security Managers will provide assistance in eval-
uating the extent of risk involved and t dvisa-
bility of recommending a removal actiof.ivilian
personnel officers will provide an opinion as to
whether action to remove an employee under
OPM regulations would be appropriate.
(6) The local commander may detail an em-
ployee to a nonsensitive position or restrict the
employee to nonsensitive duties without loss of
pay in national security cases as long as the inter-
ests of national security are served. In these cases,
the employee will be notified that he or she may
be susp ed without pay at any time before a fi-
nal dec.,sirt in the case.
on at t e employing activity.
Thder*? tory information will be re-
; I ;
t .-information is of a suitabil-
in Chapter 732 of the FPM.
(2) If the information reflects only on the
suitability of the person, the employing activity
will decide if the employee may be retained in a
position or that removal action is warranted un-
der FPM Chapter 752 (Adverse Actions) as supple-
mented by AR 690-700, Chapter 752 (ref (m)).
(3) When the employing activity decides the
information to be of a security nature, the re:en-
tion of the employee is not in the interest of na-
tional security, and civil service removal proce-
dures are neither applicable nor appropriate in the
case, the case will be forwarded through command
channels to CCF. Cases submitted to CCF should
contain the following:
(a) The full name of the employee, social se-
curity number, grade, title, salary of the position,
and copy of the job description.,
(b) Whether the position is critical-sensitive
or noncritical-sensitive and the basis for the deter-
mination.
(c nsensitive positions exist at
elsewhere to which the
employee coul e reassigned without reduction
in pay.
(d) The steps taken by the employing activ-
ity to protect the national security.
(e) Whether the employee has served a pro-
bationary or trial period or when the period will
end.
(f) Whether the employee is a US citizen or
alien.
(g) Two copies of documents (such as SFs 61,
85, 86 or DD Form 398) whenever charges of falsi-
fication or deliberate noncompletion of these
documents are involved with respect to any of the
criteria of paragraphs 2-200 a through f and in.
(h) DA Form 873, if appropriate.
(i) The derogatory information or investiga-
tive report which was basis for initiating the ac
tion.
c. Action by HQDA.
(1) After receipt of a national security ase,
CCF will coordinate a revi whsj
OTJAG, and the Office of t Rey Chie
Staff for Perso 0 e reviPi/i
cates that the o ffici
acti n und t:stes
Code, mmand
ch F citing
iliaidtra Any f her n must be ac-
civilian person el re L tions.
(2) "When the review indica & a basis for in-
tiating action under Section 7532, Title 5, United
States Code, OTJAG will prepare a letter of
charges. The letter of charges will be forwarded
through the Office of the Secretary of the Army
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proposedlirnoval action under Section 7532,
tie 5, United States Code. These boards serve in an
advisory capacity and are responsible to the SA.
(1) A Security Hearing Board will be corn.
posed of at least three members, a majority of
whom will be civilians employed by DoD. Mem.
bers will be selected by the MACOM commander
from the highest ranking military and civilian per-
sonnel available in the area where the board will
convene. It is preferable that members of the
board be field grade officers or civilians in the
grade of GS--12 or higher. Each member of the
board must be the subject of a favorably complet-
ed BL The MACOM commander will designate a
chairperson and an alternate chairperson from the
standing members of the board.
(2) The following information on each desig-
nated board member will be sent to the OPM re-
gional office serving the area in which the board
will meet:
(a) Full name, grade'or rank.
(b) Position title.
(c) Office in which employed.
(d) Telephone number.
(e) Name and address of employing activity.
(f) A short, personal background statement
giving age, education, civilian or military experi-
ence. '
(g) The type of personnel security investiga-
tion.
(h) The commander's statement regarding
the ability, character, discretion, integrity and
that service on the Security Hearing Board would
be clearly consistent with the interests of national
security.
e. Hearing Procedures.
(1) A qualified attorney will be assigned to act
as counsel for the hearing board. He or she will as-
sist the hearing board to insure the record is as
complete as practicable. He or she will question
DoD witnesses and cross-examine witnesses pro-
duced by the hearing; the hearing board may also
question any witness.
(2) To reduce the issues in controversy and to
simplify the hearing, the hearing board counsel is
authorized to consult directly with the employee
or his or her counsel, as appropriate, for the pur-
pose of reaching mutual agreement on such
matters as?
(a) The clarification of the issue.
(b) The taking of depositions.
(c) Stipulations with respect to testimony;
such stipulation will be binding on the employee
and DA for the purpose of these proceedings.
(d) The contents of documents and other,
physical evidence.
(OSA) to the Office of thWeneral Counsel (OGC),
DoD. The OGC. DoD will consult with representa-
tives of the Department of Justice (DOJ) to assure
that the procedural benefits of the employee are
fully considered, determine if the proposed
charges are fully supportable, and the extent to
which confrontation and cross-examination of
witnessess will be required. If DOJ determines the
proposed charges are not supportable, the OGC,
DoD, will notify OSA. The case will then be re-
turned to the employing activity actueding to c(1)
above. If the letter of charges is deemed to be le-
gally sufficient, the OACSI will forward the letter
to the employee via certified mail, receipt request-
ed. A copy of the letter of charges will be given to
each level of command and the employing activity
involved. The specific content of the letter of
charges is explained in paragraph 8-201.1f.
(3) If the employee fails to answer to the let-
ter of charges, the case will be evaluated on the
available information. The OACSI will coordinate
a recommendation with the OTJAG. The OACSI
will then forward the case ard recommendation to
the SA for a final determination.
(4) When the employee answers the letter of
charges, a review will be conducted by ODCSPER,
OACSI, and OTJAG. If the response is considered
to negate, nullify, or refute the original charges,
the case may be returned to the employing activ-
ity according to c(1) above.
(5) When the reply to the letter of charges is
not considered sufficient to negate, nullify, or re-
fute the original charges, the OACSI will coordi-
nate a reply to the employee with ODCSPER and
OTJAG. The reply will state the reasons for the
determination and advise the employee that he or
she may appeal the determination. The appeal
may be either a written appeal directly to the SA
or a hearing may be requested before a Security
Hearing Board. The case and recommendation will
then be forwarded by OACSI to the SA.
(6) If the employee fails to submit a written
appeal or request a hearing, the SA will make a fi-
nal determination based on the available informa-
tion.
(7) When the employee submits an appeal to
the SA, it will be considered and a final determina-
tion made. if the employee requests a hearing, the
Board will hear the case and provide a recom-
mendation to the SA for a final determination.
d. Security Hearing Boards. These boards are
established by the SA to hear the testimony of em-
ployees and other witnesses in answer to letters of
charges issued under this regulation. A Security
Hearing Board is convened when an employee re-
quests a board hearing on appeal to the SA on a
VIII-4
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(3) Hearings before Security Hearing Boards
will be conducted expeditiously in an orderly man-
ner with dignity and decortim. Should the conduct
of the employee or his or her counsel be such that
the orderly and prompt disposition of the matters
before the Board are impaired, or rulings ignored
or flouted deliberately, the chairperson is author-
ized in his or her discretion to recess the hearing.
Further proceedings may be held only after satis-
factory assurances are made to the chairperson by
the offending party that he or she is prepared to
abide by the rulings of the chairperson.
(4) Testimony before hearing boards will be
given under oath or affirmation.
(5) The hearing board will take whatever ac-
tion is necessary to insure the employee of full and
fair consideration of his or her case. The employee
will be informed by the chairperson of his or her
rights under this regulation.
(6) Alter the hearing has been convened, the
letter of charges will be read, as well as the state-
ments and affidavits submitted by the employee in
answer to the letter of charges, unless the reading
is waived by mutual consent of the chairperson
and the employee. In any event, this material will
be incorporated as a part of the record of the hear-
ing.
(7) The DA and the employee may introduce
evidence responsive to the issues. Rules of evi-
dence will not be binding on the Board. The chair-
person may impose reasonable restrictions as to
the relevance, competency, and materiality of
matters considered, so that the hearings will not
be unduly prolonged. Investigative information
not made available to the employee whose re-
moval is sought under Section 7532, Title 5,
United States Code, will not be furnished the
Board subject to the following exception: If the
investigative information constitutes classified in-
formation the Board may receive and consider
this information provided the employee is fur-
nished as comprehensive and detailed an unclassi-
fied summary of the information as the national
security permits.
(8) The employee will control the sequence of
calling his or her witnesses. Reasonable cross-ex-
amination of witnesses by the employee will be
permitted.
(9) The hearing board will give due considera-
tion to documentary evidence developed by inves-
tigation, including but not limited to, such matters
as membership cards, petitions bearing the em-
ployee's signature, personnel and security forms
executed by the employee, and transcripts of rele-
vant testimony before other duly constituted au-
thorities. The fact that such evidence has been
: CIA-RDP90-00530R000501000004-7
AR 604-5
considered will be made a part of the transcript of
the hearing, together with a complete identifica-
tion of the document in question, including date.
place, and other designative information.
(10) The chairperson, in his or her discretion.
may invite any person to appear at the hearing
and testify, and may cross-examine the person.
The employee may be called to testify. Where an
employee's refusal to testify or to answer ques-
tions regarding the issues in his or her case pre-
vents the Board from reaching a determination
that his or her employment is clearly consistent
with the interests of national security, the Board
may adjourn the hearing and take action as pro-
vided in (16) below.
(11) The hearing board will conduct the hear-
ing proceedings in such a manner as to protect in-
formation, the disclosure of which would adverse-
ly affect the national security, or tend to disclose
or compromise investigative sources or methods.
(12) Hearings will be private. The following
will be present at the hearing?
(a) The members of the hearing board.
(b) The hearing board counsel.
(c) The stenographer or stenographers.
(d) The employee.
(e) His or her counsel.
(f) DoD officials concerned.
(g) Witnesses when actually testifying.
(13) Where the hearing board determines that
further investigation is essential to arrive at a
proper decision in the case, the Board will specify
the particular areas to be investigated. This will
be done on an expeditious basis through the Direc-
tor, Civilian Employees Security Program, OSA.
(14) The hearing board, in making its recom-
mendation, will take into consideration the fact
that the employee may have been handicapped by
the nondisclosure to him or her of classified de-
fense information. The Board will also take into
consideration the inability of the employee to at-
tack the credibility and accuracy of any person
furnishing information about the employee who
fails to appear as a witness. Where persons are not
confidential informants, their failure to appear,
together with the reason for their absense, will be
considered by the Board, as well as the fact that
the Board cannot pay witness fees or reimburse
them for their travel or other expenses. The Board
will reach its conclusions and base its determina-
tion on the transcript of the hearing, together
with such classified defense information as may
be submitted to it. This classified information will
be identified and included in the classified portion
of the record for review by the SA, together with
the information disclosed to the employee accord-
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111W.IL may oe either a written
been shown to the em oyee, the reasons for the
action will be stated.
(15) A complete verbatim stenographic tran-
script will be made of the hearing by qualified re-
porters. This will be made a permanent part of the
record. The employee will be furnished a copy of
the transcript without cost. The transcript will
.not include classified information submitted to
the Board, but will include an unclassified sum-
mary if national security considerations permit.
(16) The hearing board will make findings of
fact with respect to each charge in the letter of
charges and a recommendation whether retention
of the employee is clearly consistent with the in-
terest of the national security. The report of the
Board will be in writing. It will also be signed by
all members of the Board. If a determination is not
unanimous, a signed minority report will be sub-
mitted.
(17) The record of the case, including the find-
ings and the recommendation of the hearing
board, will be forwarded to the SA for review and
final determination.
" f. Procedural benefits for employees. A US citi-
zen employee of DA having a permanent or indefi-
nite appointment, regardless of whether the em-
ployee has completed the probationary or trial pe-
riod, whose removal from DA under Section 7532,
Title 5, United States Code, is proposed will be
granted the following procedural benefits:
(1) The employee will be given a letter of
charges which may be subject to amendment with-
in 30 days thereafter, stating the reasons for the
proposed removal from employment with DA un-
der Section 7532, Title 5, United States Code. The
letter wilLbe as specific as national security con-
siderations permit. Each specific charge will be di-
rectly related to one or more of the criteria of
paragraphs 2-100 a through f and m. The letter
will -advise the employee to reply to each of the
charges and,specifically admit, deny, or disclaim
any knowledge, as appropriate, of all of the
charges. 'The employee will be given 30 calendar
days to answer the letter plus an additional 30
days if the letter of charges has been amended. If
the employee does not reply to the letter, a deci-
sion will be made by the SA based on the available
information.
(2) In cases where the employee does reply to
the letter of charges and the review by HQDA de-
termines that the continued employment is not in
the interests of national security, the employee
will be notified, in writing, of the reasons for the
determination. The notification will include the
provision that the employee may appeal the deter-
-
peal di ctly to the SA or a request for a heari
before a Security Hearing Board.
(3) An appeal submitted to the SA by the e
ployee will be considered and a final decision r
dered.
(4) When the employee elects a board heari
on the appeal, he or she will be informed of the f
lowing provisions of a Security Hearing Board
tion. The employee?
(a) May be represented by legal counsel
choice.
(b) May testify on own behalf.
(c) May present witnesses and offer e
dence under oath or affirmation.
(d) May cross-examine any witness offer
in support of the charges.
(e) Will be deemed to have relinquished t
option to appeal in the case, should he or she fa
to submit a written appeal to the SA or request
board hearing within 30 calendar days. In tho
cases, the SA will make a' final decision based o
the available information. Additionally, if the e
ployee does not appear before a scheduled heal
ing, without explanation acceptable to the boar
chairperson, the board will consider the case ol
the available information and make a recoil]
mendation to the SA for a final decision.
g. Personnel actions.
(1) Resignations. Resignations will be accept
ed even though the employee's case may be b
process. A resignation will automatically termi
nate processing of the case under this regulation i
the employee?
(a) Resigns after he or she has been suspend
ed or has received the letter of charges proposini
removal under Section 7532, Title 5, United State!
Code. SF 50 will be annotated as follows, "Re
signed while action pending to separate for securi
ty reasons under Section 7532, Title 5, Unite(
States Code." The employee will be informed of
this annotation.
(b) Resigns before suspension or receipt of k.
letter of charges proposing removal under Sectior
7532, Title 5, United States Code. SF 50 will con.
tam only standard data with no reference to thE
security case.
(2) Separations.
(a) As long as the employee is not under sus-
pension, reduction-in-force (RIF) or removals un.
der civil service rules and regulations, separation
action should be carried to normal completion.
After an employee is suspended and letter of
charges issued, all types of separation actions
which are under the control of the employing in-
stallation should be held in abeyance, if possible,
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until final adjudication under this regulation is
made. However, removals ordered by the OPM
should be effected and notification supplied to the
SA fhrough the channels used in processing the
case. After separation for any reason, investiga-
tive files supplied by the OPM or the FBI will be
disposed of under AR 381-45 (ref(xx)).
(b) If an employee is reached by a RIF dur-
ing a period of suspension under this regulation,
all necessary processing with the reduction-in-
force will be accomplished except that SF 50 will
not be issued. The final separation by RIF will be
held in abeyance until the final determination by
the SA is received. When removal on security
grounds is ordered, no further action on the RIF is
necessary. If restoration on security grounds is or-
dered it will be accomplished and the RIF then
made effective if still applicable.
(3) Change in status while a case is in process.
When a case is in process, reassignments and all
types of separations must be reported immediate-
ly to the SA directly and also to the OACSI,
through channels followed in processing a case un-
der this regulation, so that the case can be closed
promptly without unnecessary action. All separa-
tions from the rolls of the DA will automatically
stop proceedings under this regulation.
(4) Notice requirements. Pursuant to EO
/0450, as amended, and to assist the OPM in dis-
charging its responsibilities under that Order, the
employing activities of the DA will notify the OPM
of the action taken as soon as possible after the re-
ceipt of the final investigative report on a civilian
employee. In case of a completely favorable inves-
tigation, notification will be made within 30 days.
In the case of an unfavorable investigation, notifi-
cation will be made within 90 days. In both situa-
tions, if special circumstances have precluded ac-
complishing the reports to the OPM within the
time limits, continuing reports will be made every
30 days until accomplished. The notice will con-
form to the requirements of the OPM stipulated in
chapter 736, appendix B-1, FPM. The SF 72 will
be used for this purpose and forwarded to OPM at
the address shown in paragraph 6-104.
h. Record of action taken. A record of all ac-
tions taken in a national security case, to include
Security Hearing Board transcripts, will be made
and included in the investigative dossier retained
in the US Army Investigative Records Repository
(USAIRR) pertaining to the person.
8-202 Exceptions to Policy
a. Notwithstanding paragraph 8-101 above or any
other provision of this Regulation, nothing in this Reg-
ulation shall be deemed to limit or affect the responsi-
bility and powers of the Secretary of Defense to find
that a pers,,n is not suitable fcr entrance or retention
in the Armed Forces, or is ineligible for a security
clearance or assignment to sensitive duties, if the na-
tional security so requires. Such authority may not be
delegated and may be exercised only when it is deter-
mined that the procedures prescribed in paragraph
8-101 above are not appropriate. Such determination
shall be conclusive.
b. Notification of adverse action need not be
given to?
(1) Military personnel who have been dropped
from the rolls of their organization for absence
without authority.
(2) To persons who have been convicted of a
criminal offense by a civilian court or court mar-
tial and are incarcerated.
Section 3
REINSTATEMENT OF CIVILIAN EMPLOYEES
8-300 General
Any person whose civilian employment in the De-
partment of Defense is terminated under the provision
of this Regulation shall not be reinstated or restored to
duty or employed in the Department of Defense unless
the secretary of Defense, or the head of a DoD Compo-
nent, finds that such reinstatement, restoration, or re-
employment is clearly consistent with the interests of
national security, which finding shall be made a part
of the personnel security record. Requests for accept-
ance of persons for employment with DA, whose
previous Federal employment was terminated un-
der Section 7532, Title 5, United States Code, will
be sent to HQDA(DAMI-CIS), WASH, DC 20310
for review. OACSI will coordinate the review with
OTJAG AND ODCSPER and provide a recommen-
dation to the SA for final determination.
8-301 Reinstatement Benefits
A DoD Civilian employee whose employment has
been suspended or terminated under the provisions of
this Regulation and who is reinstated or restored to
duty under the provisions of Section 3571 of Title 5,
U.S. Code (reference (bb)) is entitled to benefits as pro-
vided for by Section 3 of Public Law 89-380 (reference
(cc)).
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APPENDIX A
REFERENCES, Continued
(d) Public Law 86-36, "National Security Agen-
cy-Officers and Employees"
(e) Executive Order 10450, "Security Require-
ments for Government Employment," dated April 27,
1953
(f) Executive Order 12036, "United States Intel-
ligence Activities," dated January 24, 1978
(g) DoD Directive 5210.45, "Personnel Security
in the National Security Agency," May 9, 1964
(h) Executive Order 12065, "National Security
Information," dated June 28, 1978
(i) Executive Order 11935, "Citizenship Re-
quirements for Federal Employment," dated Septem-
ber 2, 1976
(j) Director of Central Intelligence Directive
(DCID) No. 1/14, "Minimum Personnel Security Stand-
ards and Practices Governing Access to Sensitive Com-
partmented Information," dated May 13, 1976
(k) Privacy Act of 1974, Title 5-552A, United
States Code.
(1) DoD Directive 5100.23, "Administrative Ar-
rangements for the National Security Agency," dated
May 17, 1967.
(m) Agreement Governing the Conduct of De-
fense Department Counterintelligence Activities in
Conjunction with the Federal Bureau of Investigation,
dated April 5, 1979
(n) DoD Directive 5210.48, "The Conduct of
Polygraph Examinations and the Selection, Training
and Supervision of DoD Polygraph Examiners," dated
October 6, 1975. AR 195-6 (Department of the
Army Polygraph Activities)
(o) DoD 5200.1-R, "Information Security Pro-
gram Regulation, dated December 1978. AR 380-5
(Department of the Army Information Security
Program Regulation)
(p) DoD Directive 5210.55, "Selection of DoD
Military and Civilian Personnel and Contractor Em-
ployees for Assignment to Presidential Support Activ-
ities," dated July 6, 1977. AR 614-3 (Selection of US
Army and Civilian Personnel and Contractor Em-
ployees for Assignment to Presidential Support
Activities)
(q) DoD Directive 5210.42, "Nuclear Weapon
Personnel Reliability Program", dated April 26, 1978.
AR 50-5 (Nuclear Surety) ?
(r) DoD Directive 5200.8, "Authority of Military
Commanders Under the Internal Security Act of 1950
to Issue Security Orders and Regulations for the Pro-
tection of Property or Places under Their Command,"
dated August 20, 1954. AR 380-20 (Restricted
Areas)
(s) DoD Personnel Policy Manual for Non-Ap-
propriated Fund Instrumentalities, dated September
6, 1974. AR 230-2 (Personnel Policies and Proce-
dures)
(t) DoD 5030.49-R, "Customs Inspection Regu-
lation," dated September 23, 1975. AR 190-41 (Cus-
toms Law Enforcement)
(u) DoD Directive 5210.25, "Assignment of
American National Red Cross and United Service Or-
ganizations (USO) Employees to Duty with the Armed
Forces," dated November 21, 1977. AR 380-49 (In-
dustrial Security)
(v) DoD Directive 5210.46, "Department of De-
fense Building Security for the National Capital Re-
gion," dated September 23, 1975. AR 38074 (Depart-
ment of Defense Building Security for the Na-
tional Capitol Region)
(w) DoD Directive 5210.65, "Chemical Agent
Security Program," dated February 9, 1979. AR 50-6
(Chemical Surety)
(x) DoD Directive 5210.2 (Access to and Dissem-
ination of Restricted Data," dated January 12, 1978.
AR 380-150, (Access to and Dissemination of Re-
stricted Data)
(y) DoD Directive 5400.7, "Availability to the
Public of Department of Defense Information," dated
February 14, 1975, AR 340-17 (Release of Informa-
tion and Records from Army files)
(z) DoD Directive 5400.11, "Personal Privacy
and Rights of Individuals Regarding Their Personal
Records," dated August 4, 1975. AR 340-21 (The
Army Privacy Program)
(aa) Federal Personnel Manual, Chapter 732,
Subchapter 1, paragraph 1-6b and Chapters 731 and
736
(bb) Section 3571, Title 5, United States Code
(cc) Section 3, Public Law 89-380
(dd) Executive Order 9835, "Prescribing Proce-
dures for the Administration of an Employee Loyalty
Program in the Executive Branch of the Government,"
issued 1947 (superseded by Executive Order 10450)
(ee) Atomic Energy Act of 1954, as amended
(ff) AR 15-6 (Procedures for Investigating
Officers and Boards of Officers Conducting Inves-
tigations)
(gg) AR 135-100 (Appointment of Commis-
sioned and Warrant Officers of the Army)
(hh) AR 135-101 (Appointment as Reserve
Commissioned Officers for Assignment to the
Medical, Dental, Veterinary, and Medical Service
Corps Branches of the Army Medical Department)
(ii) AR i35-175 (Separation of Officers)
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APPENDIX A
REFERENCES, Continued
(d) Public Law 86-36, "National Security Agen-
cy-Officers and Employees"
(e) Executive Order 10450, "Security Require-
ments for Government Employment," dated April 27,
1953
(f) Executive Order 12036, "United States Intel-
ligence Activities," dated January 24, 1978
(g) DoD Directive 5210.45, "Personnel Security
in the National Security Agency," May 9, 1964
(h) Executive Order 12065, "National Security
Information," dated June 28, 1978
(i) Executive Order 11935, "Citizenship Re-
quirements for Federal Employment," dated Septem-
ber 2, 1976
(j) Director of Central Intelligence Directive
(DCID) No. 1/14, "Minimum Personnel Security Stand-
ards and Practices Governing Access to Sensitive Com-
partmented Information," dated May 13, 1976
(k) Privacy Act of 1974, Title 5-552A, United
States Code.
(1) DoD Directive 5100.23, "Administrative Ar-
rangements for the National Security Agency," dated
May 17, 1967.
(m) Agreement Governing the Conduct of De-
fense Department Counterintelligence Activities in
Conjunction with the Federal Bureau of Investigation,
dated April 5, 1979
(n) DoD Directive 5210.48, "The Conduct of
Polygraph Examinations and the Selection, Training
and Supervision of DoD Polygraph Examiners," dated
October 6, 1975. AR 195-6 (Department of the
Army Polygraph Activities)
(o) DoD 5200.1-R, "Information Security Pro-
gram Regulation, dated December 1978. AR 380-5
(Department of the Army Information Security
Program Regulation)
(p) DoD Directive 5210.55, "Selection of DoD
Military and Civilian Personnel and Contractor Em-
ployees for Assignment to Presidential Support Activ-
ities," dated July 6, 1977. AR 614-3 (Selection of US
Army and Civilian Personnel and Contractor Em-
ployees for Assignment to Presidential Support
Activities)
(q) DoD Directive 5210.42, "Nuclear Weapon
Personnel Reliability Program", dated April 26, 1978.
AR 50-5 (Nuclear Surety) ?
(r) DoD Directive 5200.8, "Authority of Military
Commanders Under the Internal Security Act of 1950
to Issue Security Orders and Regulations for the Pro-
tection of Property or Places under Their Command,"
dated August 20, 1954. AR 380-20 (Restricted
Areas)
(s) DoD Personnel Policy Manual for Non-Ap-
propriated Fund Instrumentalities, dated September
6, 1974. AR 230-2 (Personnel Policies and Proce-
dures)
(t) DoD 5030.49-R, "Customs Inspection Regu-
lation," dated September 23, 1975. AR 190-41 (Cus-
toms Law Enforcement)
(u) DoD Directive 5210.25, "Assignment of
American National Red Cross and United Service Or-
ganizations (USO) Employees to Duty with the Armed
Forces," dated November 21, 1977. AR 380-49 (In-
dustrial Security)
(v) DoD Directive 5210.46, "Department of De-
fense Building Security for the National Capital Re-
gion," dated September 23, 1975. AR 38074 (Depart-
ment of Defense Building Security for the Na-
tional Capitol Region)
(w) DoD Directive 5210.65, "Chemical Agent
Security Program," dated February 9, 1979. AR 50-6
(Chemical Surety)
(x) DoD Directive 5210.2 (Access to and Dissem-
ination of Restricted Data," dated January 12, 1978.
AR 380-150, (Access to and Dissemination of Re-
stricted Data)
(y) DoD Directive 5400.7, "Availability to the
Public of Department of Defense Information," dated
February 14, 1975, AR 340-17 (Release of Informa-
tion and Records from Army files)
(z) DoD Directive 5400.11, "Personal Privacy
and Rights of Individuals Regarding Their Personal
Records," dated August 4, 1975. AR 340-21 (The
Army Privacy Program)
(aa) Federal Personnel Manual, Chapter 732,
Subchapter 1, paragraph 1-6b and Chapters 731 and
736
(bb) Section 3571, Title 5, United States Code
(cc) Section 3, Public Law 89-380
(dd) Executive Order 9835, "Prescribing Proce-
dures for the Administration of an Employee Loyalty
Program in the Executive Branch of the Government,"
issued 1947 (superseded by Executive Order 10450)
(ee) Atomic Energy Act of 1954, as amended
(ff) AR 15-6 (Procedures for Investigating
Officers and Boards of Officers Conducting Inves-
tigations)
(gg) AR 135-100 (Appointment of Commis-
sioned and Warrant Officers of the Army)
(hh) AR 135-101 (Appointment as Reserve
Commissioned Officers for Assignment to the
Medical, Dental, Veterinary, and Medical Service
Corps Branches of the Army Medical Department)
(ii) AR i35-175 (Separation of Officers)
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Declassified
- -
and Approved For Release
2013/01/29: CIA-RDP90-00530R000501000004-7
(2) The person is being considered for a higher
level of clearance or access authorization.
(3) There has been a break in Federal Service
greater than 1 year. .
(4) No record of clearance is available in a per-
son's personnel file.
g. A commander will issue DA Forms 873 for
clearances to personnel assigned to or employed
by his or her command only for interim clearances
specified in paragraph 6, below.
h. Commanders may appoint a person to act for
them in the execution of clearance certificates for
personnel within their respective commands,
agencies, or activities. The person authorized to
grant an interim clearance must be eligible for a
TOP SECRET clearance.
i. Nonimmigrant aliens and foreign nationals
are not eligible for seeurity clearances. LAAs may
be granted to these persons by MACOM's under
paragraph 3-403.
j. Immigrant aliens may be granted CONFIDEN-
TIAL or SECRET security clearances based on a
favorably completed BI only if it, is determined
that the special expertise standards outlined in
paragraph 2-100 apply. All requests for BIs for
immigrant aliens will be forwarded to CCF,
ATTN: PCCF-OSA for certification of the valid-
ity of the request to DIS. Immigrant aliens are not
eligible for TOP SECRET clearances, but may be
granted an LAA for access to TOP SECRET infor-
mation provided that the Secretary of the Army
determines:
(1) The access if essential.
(2) The person has,been determined to be reli-
able and trustworthy.
(3) A BI has been favorably completed (para
3-403).
k. US citizens who are subjects of investigation
as candidates for security clearances, will be re-
quired to present documentation that will verify
their citizenship. Persons serving in or employed
by the US Army who presently have security
clearances will not be required to present evi-
dence of citizenship. Uncleared members or em-
ployees being considered for first-time clearances
or for assignment to White House support duties
will be required to provide proof of citizenship.
1. Do not request a security clearance if infor-
mation obtained from the person's DD Form 398,
medical record, or other source indicates the exist-
,r
ence, current or past, of any mental or nervous
disorder, or emotional instability. In these cases,
interim or final clearances will not be granted and
._
equests for PSI's will not be submitted unless
competent medical authority (US military, US
Government employed or contract psychiatrist
1 r elii-uary 1984
'L
(M.D.) certifies that the disorder or instability has
been overcome or is of such a nature that it wili
not cause a defect in the person's judgment or reli-
ability. If 'CCF requests a psychiatric evaluation
before a final adjudication can be made, the eval-
uation must be from a certified Government or
contract psychiatrist (M.D.) unless a prior waiver
has been obtained from CCF.
. m. Requests for PSIs for security clearances
will not be submitted on immigrant aliens who in-
dicate their intent not to become a US citizen or
who have not taken action to file for US citizen-
ship within 12 months of eligibility. An exception
to this policy is when?
(1) It is in the national interest.
(2) The person possesses a special expertise or
skill.
(3). The person's reason for not obtaining US
citizenship is clearly consistent with national se-
curity (for example, circumstances beyond the
person's control have prevented filing for US citi-
zenshp). See paragraph 3-402. Justification for
submission of the request for investigation or re-
quest for security clearance will be placed on DD
Form 1879 or DA Form 5247-R (Request for Secu-
rity Determination), as appropriate. .
n. Security clearances will be requested on DA
Form 5247-R or message format described in
paragraph 6a. ;
5. Interim security clearance authority delegated
by Commander, CCF.
a. TOP SECRET (Military) US citizen. .
(1) Commanders may grant an interim TOP,
SECRET clearance for 60 days in the name of the,
Commander, CCF, if?
(a) A DA Form 873 or a clearance certif-
icate issued by another DOD component or other,
Federal Agency (para 4-103) for other than TOP,
SECRET exists in a person's MPRJ that indicates,
the favorable completion of a Full Field Investiga-:
tion (FFI), CID Character Investigation (CIDCI), BI,
or SBI.
(b) There has been no break in Federal
Service exceeding 12 months since completion of
the investigation.
(c) Local records checks are favorable.
(d) A request for final TOP SECRET clear'
ance has been submitted to CCF noting that an in.'
terim clearance was granted and including verib.,
cation of citizenship, if required under para 8a-
(2) Commanders may grant an interim TOP
SECRET clearance for 225 days in the name of the
Commander, CCF, if? ?
(a) A DA Form 873 or a clearance certif. ?
icate issued by another DOD component or other.,
Federal Agency (para 4-103) exists in a person
.E?t?
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r VUL?110.1y 100.*
? Declassified and Approved For Release 20
MPRJ that indicates a clearancgras granted
based on a NACI, NAC, ENTNAC, or a DD Form
1584, DA Form 2784 exists in a person's MPRJ in-
dicating a completely favorable NACI, NAC or
ENTNAC has been completed.
(b) There has been no break in Federal
Service exceeding 12 months since completion of
the investigation.
(c) Local record checks are favorable.
(d) A request for BI or SBI has been sub-
mitted to DIS.
b. TOP SECRET (Civilian) US Citizen.
(1) Commanders may grant an interim TOP
SECRET clearance in the name of the Com-
mander, CCF, for 60 days, if?
(a) The Official Personnel File (OPF) con-
tains a DA Form 873 (for other than TOP
SECRET) or, a clearance certificate issued by an-
other DOD component or other Federal Agency
(para 4-103) or a SF 75 is received from the losing
command indicating a clearance based on an SBI,
BI, CIDCI, or FFI.
(b) There has been no break in Federal
Service exceeding 12 months since completion of
the investigation.
(c) Local records checks are favorable.
(d) A request for final TOP SECRET clear-
ance has been submitted to CCF noting that an in-
terim clearance was granted and including verifi-
cation of citizenship, if required, under paragraph
8a.
(2) Under emergency conditions, when a delay
would be harmful to the national interest, author
ities specified in appendix F may issue an interim
TOP SECRET clearance for 225 days in the name
of the Commander, CCF, provided:
(a) A DA Form 873 or clearance certificate
issued by another DOD component or other Fed-
eral Agency (para 4-103) exists in a person's OPF
which indicated a security clearance was granted
based on an ENTNAC, NAC, NACI, or an SF,171 is
present which is annotated "Processed under Sec-
tion 3(a), Executive Order (E0) 10450."
(Note: During the period 30 March 1980 to 1 April 1981,
the annotation placed on the SF 171 by OPM made no distinc-
tion between favorable and unfavorable results.) CSC Form
715 (Report of Clearly Favorable Results in a DOD NACI case)
exists in the OPF, or a SF 75 certification has been received
from the losing command indicating that a favorable NACI has
been completed by the OPM (formerly the Civil Service Com-
mission (CSC).
(b) There has been no break in Federal
Service exceeding 12 months since the completion
of investigation.
(c) Local records checks are favorable.
(d) A request for a BI or SBI has been sub-
mitted to DIS.
13/01/29 : CIA-RDP90-00530R000501000004-7 ac-
cess has been made latter of record by including
the original copy, signed by the requesting of-
ficial, in the OPF.
c. SECRET (Military) US Citizen.
(1) Commanders may grant an intern:
SECRET clearance for 60 days in the name of ',tie
Commander, CCF, if?
(a) A DA Form 873 or a clearance certificate
issued by another DOD component or other Fed-
eral Agency (para 4-103) at the CONFIDENTIAL
level, DD Form 1584, DA Form 2784, or DIS For:71
1 exists in a person's personnel records indica:ine
a favorably completed BI, SBI, FFI, CIDCI, NACI.
NAC, or ENTNAC.
(b) There has been no break in Federal Serv-
ice exceeding 12 months since completion of the
investigation.
(c) Local records checks are favorable.
(d) A request for final SECRET clearance
has been submitted to CCF noting that an interim
clearance was granted and including verification
of citizenship, if required, under paragraph Sa.
(2) Commanders may grant an interim
SECRET clearance for 180 days in the name of the
Commander, CCF, provided the conditions exist in
paragraph 3-401b(1)(b). A "No Record" DC11
check may be considered favorable for the pur-
pose of granting an interim clearance provided a
NAC or ENTNAC (first-term enlistee) has been
submitted to DIS.
d. SECRET (Civilian) US Citizen. /
(1) Commanders may grant an interim
SECRET clearance in the name of the Com-
mander, CCF, for 60 days, if?
(a) A DA Form 873 or clearance certificate
issued by another DOD component or other 17:?d-
eral Agency (para 4-103) at the CONFIDENTIAi.
level has been granted on the basis of an SB1,111,
FFI, CIDCI, NACI, ENTNAC, NAC, a SF 171 anno-
tated "Processed under Section 3(a), Executive.
Order (EO) 10450," a CSC Form 715 (Report of
Clearly Favorable Results in a DOD NACI case)
exists in the OPF or a SF 75 has been received
from the losing command indicating that the OPF
contains a clearance based on or evidence of a
favorably completed investigation indicated
above.
(b) There has been no break in the Federal
Service exceeding 12 months since the completion
of investigation.
(c) Local records checks are favorable.
(d) A request for final SECRET clearance
has been submitted to CCF noting that an interim
clearance was granted including verification of
citizenship, if required, under paragraph 8a. If an
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??? ?
---.1.0110SEMIEBOIS
? Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
AR 604-5 11, 1. 1 February is.
interim clearance is based on a NAC or ENTNAC, a
NACI request must have been initiated.
(2) Under emergency conditions, an interim
SECRET clearance may be granted for a period of
180 days, in the name of the Commander, CCF,
provided the conditions exist in paragraph
3-40 lb(2)(a).
e. CONFIDENTIAL (Military) US Citizen. The
provisions of paragraph 3-401c(2)(b) apply. A "No
Record" DCII check may he considered favorable
for the purpose of granting an interim clearance
provided a request for NAC or ENTNAC has been
submitted to DIS.
f. CONFIDENTIAL (Civilian) US Citizen. The
provisions of paragraph 3-401c(2)(a) apply.
g. Issuance of Interim Clearances. Whenever an
interim clearance is granted, a DA Form 873 will
be issued reflecting the interim clearance. Part III
of the form will indicate the appropriate expira-
tion date and be annotated "Granted by authority
of Commander, CCF."
h. Red Cross Employees (US Citizen). Em-
ployees of the American Red Cross who are as-
signed to duty with DA may be granted a SECRET
or CONFIDENTIAL clearance by Commander,
CCF, based on a favorable NAC. Commanders may
grant an interim clearance in the name of the
Commander, CCF, for 60 days if a favorable secu-
rity acceptability determination is on file in the
person's records and US citizenship has been veri-
fied. A copy of that determination will be for-
warded to CCF with the request for final clear-
ance.
i. Immigrant Aliens. Neither TOP SECRET nor
interim SECRET clearance is authorized for immi-
grant aliens. Under emergency conditions, com-
manders may grant an interim CONFIDENTIAL
clearance for 225 days under paragraph
3-402a(1).
j. Interim Clearance Extensions. If an interim
clearance is about to expire because a final clear-
ance has not been received, commanders may ex-
tend the interim for a period equal to the original
length of the interim clearance. Commanders
must immediately notify CCF that an extension
has been granted because the final clearance has
not been received. This notification must include
the subject's full name, SSN, date and place of
birth, and clearance requested so CCF can deter-
mine reasons for delay. Additionally, all previous
correspondance pertaining to the subject should
be referenced in this notification. If DA Form
5247-R was originally submitted, a copy of this
original request will be attached to the notifica-
tion.
6. Request for Final Security Clearances.
C-16
a. When a final clearance is requested on a p.
*son, the commander will submit a request -
clearance (DA Form 5247-R) to CCF accordinr
the instructions in Table A-1 of this annex. Wr.
information reflecting existence of a PSI
Form 1584, DD Form 1879, DA Form 2784 or I
Form 1) is contained in a person's records, a cc
will be forwarded to CCF with the request
clearance. If the request for clearance is in in.
sage format, the message will identify the for
certify that investigation was favorable aiid c
investigative data. On civilians, whenever a SF
certification from the losing command, a SF 1
(annotated "processed under Section 3(a), E
10450"), or a DA Form 873 exists, a legible cc,
will be forwarded to CCF with the request h
clearance. For favorably completed NACIs, or
certification of the favorably completed invest4
tion should be entered in Item 11 (Remarks) s.
tion of DA Form 5247-R. A copy of the NACI
not required. Information should be stated
"Completely favorable NACI by OPM, complets
(date) , file No.
. I
Security managers must certify that they hE
personally reviewed the NACI and found it to
favorable.
b. When there is no evidence of an investigati,
in the person's records or in the DCII which me#
the investigative requirements for the clearans
necessary, a request for investigation should s
submitted to the appropriate investigative agen
according to appendix B.
c. When the commander forwards results of
ENTNAC containing derogatory information
CCF for security clearance determination, the 1
quest should certify that appropriate waive
were granted for enlistment or that deterrninati
has been made that the individual is eligible for
tention in military service. Supporting do(
ments, if available, will be attached as inclosux
to the request. On civilians, when a command
forwards results of a NACI containing derogato
information to CCF for security clearance dett
mination, the request should indicate that the
formation was reviewed with civilian personx
officials and a favorable employment determir
tion was made under CPR's. If SF 171 bears t
notation "Results of Investigation under Secti,
3a, E.O. 10450 furnished requesting agency"
"Investigation under E.O. 10450," but the Set
rity Manager does not have the results of t
NACI, attach a copy of the SF 171 (and the SF E
if available) to DA Form 5247-R (RFSD) and in
cate in item 11 (Remarks) that results of NACI a
not available locally. CCF will then request the i
Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
1 Febru
vestigat
clearan(
d. Re
DD F'or3
accordi:
clearanc
will for'
who- wil
form th(
e. Cer
be forwi
fication
(RFSD),
7. Upgr.
upgradix
the samE
8. Verif
Status.
a. The
(DA For
Form 1E
was revi
grant aui
the (loci;
been exa
Form 52.
Item 18 '
Form 85,
form con-
certifyini
tion state
fied with.
may be (
commissi
security E
ministeri
See apper
fication c
status.
b. Intel
paragrapl
US citize:
zenship; 1
final secu
tion that
tions: Ce.
omitted fi
deuce of E
ization be
INS chec
verifying
is evideru
August 1
naturalizE
SM.)
c. Acce]
to
en
)is
)pY
for
tea-
cite i
75
171
E.O.
zopY
for
only
Alga-
sec- I
'XI is
ed as
pleted
?
have I
t to he
.gation
meets
,arance
-uld be
agency
t,s of ar.
ation tc
, the re
waivers
inination
),le for re.
docu-
nciosurei
mmander
rogaton..
ace deter
tat the
personr.
ietermir..s
bears tt,
,er
igent_
the Sc'-.
alts of
'b) and
of '1 .?
gue-t
1 February 1984
Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
vestigation from OPM Wadjudicate for security
clearance eligibility.
d. Requests for investigation (DD Form 1879 or
DD Form 1584) will be submitted directly to DIS
according to appendix B. No other request for
clearance or notification to CCF is required. DIS
will forward the completed investigation to CCF,
who-will make a clearance determination and in-
form the requestor.
e. Certificates of clearance, DA Form 873, will
be forwarded to the command whose Unit Identi-
fication Code (UIC) is on the DA Form 5247-R
(RFSD), DD Form 1879, or DD Form 1584.
7. Upgrading Security Clearances. Requests for
upgrading security clearances will be submitted in
the same manner as stated in paragraph 6, above.
8. Verification of Citizenship/Immigrant Alien
Status. ?
a. The request for clearance or investigation
(DA Form 5247-R (RFSD), DD Form 1584, or DD
Form 1879) must identify the document which
was reviewed to verify US citizenship or immi-
grant alien status and the person who examined
the document. Certification that the proof has
been examined will be entered in item 10a of DA
Form 5247-R (RFSD), Item 20 of DD Form 1879,
Item 18 of DD Form 1584, Item 21 of Standard
Form 85, or Item 28 of Standard Form 86. If the
form containing the certification is not signed by a
certifying official authorized below, the verifica-
tion statement must be signed by an official identi-
fied with typed name and title. Certifying officials
may be commissioned or warrant officers, non-
commissioned officers in grades E6-E9, civilian
security specialists, hiring officials, or persons ad-
ministering the oath of office to new employees.
See appendix B for samples of certificates for veri-
fication of US citizenship andJor immigrant alien
status.
b. Interim clearances may be granted under
paragraph 5a above, to persons who appear to be
US citizens pending receipt of verification of citi-
zenship; however, DA Form 5247-R, requesting
final security clearance will then include certifica-
tion that citizenship has been verified. (Excep-
tions: Certificate verifying citizenship may be
omitted for naturalized US citizens if there is evi-
dence of an investigation completed after natural-
ization because the investigative scope requires an
ENS check to verify naturalization. Certificate
verifying citizenship may also be omitted if there
is evidence of a BI or SBI completed before 1
August 1979 because verification of birth or
naturalization was within the scope of a BI or
SM.)
c. Acceptable documents to verify citizenship
AR 604:
and imilrant alien status are described in para
graph 2c, appendix B. DD Form 1966 and Dr`
Forms 2 and 2-1 may not be used to verif2
naturalized citizenship.
d. For civilian employee, the appointment o
"new hires" for critical-sensitive or noncritical
sensitive positions which specify a need for secu
rity clearance must include citizenship verifica
tion as specified in FPM Chapter 338, Subchapte
1, that is, a review of the appropriate citizenshil
document described in paragraph 2c, appendix B,
The provisions of FPM Supplement 296-31, whicl
permit acceptance of an applicant's certificatior,
on SF 61-B, will apply only to the appointment o:
applicants to nonsensitive positions or those sensi
tive positions not requiring a security clearance.
9. TOP SECRET LAA for Immig-rant Alien. All re
quests for BI's for TOP SECRET LAA's for immil
grant aliens will omit the term "US Army" from
the "Return Results to" block of DD Form 1879 tc
allow results to be retUrned directly to the re
quester. Requester will forward the completed 81
description of material to be accessed and corn.
plete justification to HQDA (DAMI-CIS) for co
ordination with OSA.
10. Requests for Clearance. Request for Clear
ance will be submitted on DA Form 5247-R
(RFSD) or by comparable message. Units may not
submit DA Form 5247-R (RFSD) in any format
other than as prescribed by this annex. Request
for clearance submitted to CCF will be identified
as "Initial" or "Tracer" and must contain full
identifying data as indicated on DA Form 5247-R.
DA Form 5247-R (RFSD) will be submitted in one
copy to:
Commander
US Army Central Personnel
ance Facility
ATTN: PCCF-OAS
Fort George G. Meade, Maryland 20755
If an immediate response is required, commandere
may submit a request for clearance by message in
DA Form 5247-R (RFSD) format to: CDR CCF FT
MEADE MIX/PCCF-OAS//.
a. Initial.
(1) Requests will be submitted on DA Form
5247-R or comparable message format.
(2) If a request for a PSI has been submitted to
DIS and a length of time (180 days for HI or SBI. 60
days for NAC) has passed, submit a request (initial)
to CCF on DA Form 5247-R (RFSD) or in com-
parable message format. If status of pending in-
vestigation is required earlier, follow the proce-
dures outlined in paragraph 10c, below.
b. Tracer. Tracer actions may be submitted on:
(1) A new DA Form 5247-R (RFSD) with
Security Clean
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? Declassified and Approved For Release 2013/01/29 CIA-RDP90-00530R000501000004-7
- 10,
AR 604-5
"Tracer" written out in Block 8.
(2) A legible copy of the original DA Form
5247?R with "Tracer" marked diagonally across
the face. This may be used in place of preparing a
new form.
(3) A comparable message with "Tracer" indi-
cated in Item 8. All information furnished in the
original request or previous "Tracer" requests
must be included in the "Tracer" message or a
complete reference to the initial message must be
given.
c. Status Checks: CCF personnel will answer
status checks concerning clearance action on file,
investigations on file, or pending investigations.
These checks may be submitted in message or let-
ter format. CCF will respond with the type of
clearance and/or investigation shown in the DCII.
These requests must clearly indicate they are
checks. They must include, as a minimum, full
name, and aliases or former names, date and place
of birth, and SSN of the person. CCF will neither
begin adjudicative action nor request dossier for
security clearance purposes on a person solely on
the basis of a status check.
11. Telephone/Terminal System. CCF's tele-
phone/terminal system provides immediate access
to the DCII to all authorized requesters (AUTO-
VON 923-7075). The DCII contains a complete
record of a person's investigative case history and
the status of investigations currently in progress
at DIS. It also shows clearance actions currently
pending at CCF and clearances granted by CCF.
The following rules apply to the use of this sys-
tem:
a. Limit calls to?
(1) Cases of vital interest.
(2) Cases where a written or message request
to CCF would excessively delay an action by the
requester.
(3) Cases where the DCII could reasonably be
expected to contain information necessary to
finalize an action.
b. Normally, only two names may be checked
immediately. More names may be checked, but the
requestor may have to call back for these results.
c. Be prepared to provide information in this se-
quence:
(1) Social security number.
(2) Last name, first name, middle initial.
(3) Date of birth with year (first), month
second) and day (last).
,c1. If the DCII shows no record and the requester
U14 the results of a favorable NACI, be prepared to
Provide the NACI date, the individual's full name
and State in which born.
e. Call during the hours of 0600 to 1800 Eastern
C-18
na,-incQifiad and Approved
1 February 19a4
Standard Time, Monday through Friday, excp;
holidays.
f. CCF will not send a message or letter not
firming any information provided unless, spo,
ically requested. Derogatory information will :it,
be provided during telephonic inquiries.
12. Request for Investigation.
a. NAC for security clearance only will be stu,
mitted to DIS on DD Form 1584 or DD Form 398--
according to instructions in appendix C and appen
dix M. Requestors will complete the "Return Re
sults To" block by inserting in capital letters, "Us
Army," centered at the top of the block followec
by their specific mailing addresses or the address
of the gaining command, when appropriate. Re-
questers will attach a copy of all unfavorable in-
formation and will enter in the upper righthand
corner of the "Return Results To" block, the
USAIRR Requester Account Control Number and
LTIC of the unit to which the clearance certificate
should be sent. Verification of US citizenship or
immigrant alien status should be included as
stated in paragraph 8, above.
b. With the exception of immigrant aliens, a BI
will be submitted to DIS on DD Form 1879 accord-
ing to the instructions provided in appendix C. Re-
questers will complete the "Return Results To"
block by inserting in capital letters, "US Army,"
centered at the top of the block followed by their
specific mailing addresses or the address of the
gaining command, when appropriate. Requesters
will attach a copy of all unfavorable information
and will enter in the upper righthand corner of the
"Return Results To" block, the UIC of their unit
or parent unit. Verification of US citizenship or
immigrant alien status should be included as
stated in paragraph 8, above.
(1) All requests for BI for immigrant aliens
will be sent to CCF, ATTN: PCCF?OSA. DIS will
not conduct the investigation unless CCF has 'certi-
fied its validity and a statement of special exper-
tise is reflected in the "Remarks" section of DD
Form 1879. The statement of special expertise
must include justification for the request and cer-
tification of special expertise that demonstrates
that the individual possesses some skill or training
which makes him/her the logical person to do the
job and that a U.S. citizen with equivalent exper-
tise is not available to do the job.
(2) Initial BLs or SBIs received from DIS on DA
civilians will be forwarded to the employing com-
mand with the security clearance determination
to allow review for determination as to employ-
ment and/or appointment.
(3) Forwarding of SF 72 (in DA civilian cases)
will be accomplished by the employing activity.
For Release 2013/01/29 CIA-RDP90-00530R00050
1000004-7
Declassified and Approved For Release 2013/01/29
c. SBIs requested for SCI access will be proc-
essed according to paragraph 20 through 22 of this
annex. SBLs for other than SCI access will be proc-
essed in the same manner as Bis described above.
The specific reason for the investigation must be
indicated.
d. Special Investigative Inquiries for a security
clearance determination will be requested from
DIS. Item 7, DD Form 1879, will contain the re-
quester's address, omitting "US Army." After the
investigation is completed by DIS. the file will be
returned to the requester for review and com-
mand action. Afterwards, the completed investi-
gation packet, documentation of command action,
and recommendation regarding the individual's
security clearance will be forwarded to CCF, un-
der the cover of DA Form 5247-R (RFSD) for final
clearances and/or access determination.
e. A NACI, required on a civilian employee or
applicant, will be submitted to the OPM according
to CPRs. Item 20 of the SF 85 will show the ad-
dress of the employing agency's Security Manager.
Eligibility for employment or appointment should
be determined through coordination with the ap-
propriate civilian personnel office before request-
ing a security clearance determination. When for-
warding results of a NACI to CCF for clearance de-
termination, the original SF 85 and SF 171 will be
retained in the OPF. If the NACI is completely fa-
vorable, a statement attesting to that fact and the
date the NACI was completed will be entered in
the "Remarks" block of DA Form 5247-R (RSFD).
If the NACI contains derogatory information, a
copy of the entire NACI will be submitted to CCF.
The original NACI ma' be retained by the Securi-
ty Manager as long as the person is employed and
may be transferred within DOD.
f. Investigations requested primarily for USAR
or RA appointment, Federal recognition, or for
other personnel actions when no security clear-
ance is immediately required, should not contain
the notation "US Army" in the "Return Results
To" block of the DD Form 1879, DD Form 1584, or
DD Form 398-2. This will allow the results to be
returned directly to the requester. If favorable de-
termination is made regarding the personnel ac-
tion, and a security clearance is required, a re-
quest will be submitted to CCF under paragraph
6a, above.
g. Allegations reflecting on a person's loyalty to
the US and or hostage situations stated in para-
graphs 2-200 a. through f. and m. will be for-
warded to Commander, CCF, for action. CCF will
request appropriate investigation and advise of
the determination.
CIA-RDP90-00530R000501000004-7
13. Cancellation of Requests for Investigations
and/or Clearances.
a. Whenever a clearance or investigation is no
longer required, the requester will notify DIS and
CCF, ATTN: PCCF-OSA. Cancellation will in-
clude?
(1) Full identifying data.
(2) Action requested.
(3) The agency to whom the action was ad-
dressed.
(4) The reason for cancellation.
b. If the cancellation is requested because the
person is transferred, include the effective date
and new unit of assignment. If a BI or SBI is still in
progress when the person is transferred, the losing
commander will notify the gaining command that:
a BI or SBI is in progress. The gaining commander
can then forward DA Form 5247-R (RSFD) to CCF
requesting a clearance or requesting cancellation
of the investigation. If the Person is "separated"
from active service, indicate whether he or she
was discharged or released from active duty. If the
person has departed for a new assignment before
the Security Manager is notified of the transfer,
the losing command will advise the gaining com-
mand of the pending action by letter or message.
14. Suspension of Access and Reporting Deroga-
tory Information.
a. Commander's Options. When the commander
becomes aware of credible derogatory informa-
tion on a person that falls within the scope of par-
agraph 2-200 and who has a security clearance, he
or she will do one of the following:
(1) Suspend the person's access to classified
information, conduct an inquiry or request inves-
tigation from the proper investigative agency as
appropriate, complete DA Form 5248-R (Report
of Unfavorable Information for Security Determi-
nation) and forward to CCF with DA Form 873 at-
tached. DA Form 5248-R will be reproduced lo-
cally on 81/2 x 11 inch paper. A copy for reproduc-
tion purposes is located at the back of this regula-
tion.
(2) Suspend individual's access and forward
all derogatory information to CCF on DA Form
5248-R with commander's recommendation and
DA Form 873 attached. Item 11 of DA Form
5248-R will indicate that information forwarded
is considered suficient for determination and that
no further inquiry or investigation is pending or
contemplated.
(3) In cases where information available to
the Commander is insufficient to warrent suspen-
sion of access, or in borderline cases in which pro-
priety .of suspension action is questionable, for-
AR 04-Z
C-19
Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
Declassified and Approved For Release 2013/01/29:
ward the derogatory information to CCF on DA
Form 5248-R. Indicate access has not been sus-
pended pending final determination by CCF.
(4) If the person is currently indoctrinated for
SCI access, suspension action will be processed ac-
cording to paragraph 21.
b. Procedures for Reporting Derogatory Infor-
mation.
(1) DA Form 5248-R. This form is used to re-
port credible derogatory information, whether a
person has clearance or not, when surfaced at the
local level. Message in DA Form 5248-R format
may also be used. All reports of derogatory infor-
mation will include full identifying data on the
person. Instructions for completing DA Form
5248-R are contained in Table A-2.
(2) Initial Reports. Reports of access suspen-
sion will include a summary of the information
which caused the suspension. It will indicate what
action the commander or appropriate authorities
are taking (for example, conducting an inquiry or
investigation) to resolve the incident.
(3) Follow-Up Reports. Reports will be sub-
mitted at 60-day intervals if the commander has
not taken final action or, as an example, the sub-
ject is still pending action by civil court. A sum-
mary is all that is needed by CCF until the final ac-
tion is taken by the commander.
(4) Final Reports. At the conclusion of com-
mand action, a final report will be forwarded to
CCF indicating the action taken. The final report
should contain recommendations of the command
concerning restoration of the person's access or
revocation of the security clearance. Include docu-
mentation of the derogatory information, for ex-
ample, MP reports or blotter entries, AR 15-6 in-
vestigations, commander's inquiries, results of
limited investigations, copies of courts-martial or
Article 15's, medical reports or psychiatric exam-
inations. CCF does not consider it to be a final re-
port if the person is pending discharge under AR
635-200. If the person is discharged, a copy of the
discharge order will be forwarded to CCF as an in-
closure to DA Form 5248-R. If the person is re-
tained in service or released to the USAR, advise
CCF by forwarding a final DA Form 5248-R. This
will allow CCF to resume security clearance ac-
tion.
c. Restoration of Access. The Commander, CCF,
is the only person designated to restore access
when suspended by the local commander, unless
the provisions of paragraph 7-102f apply. Resto-
ration of access will be accomplished by CCF exe-
cuting a new DA Form 873.
d. Elimination from Military Service Prior to
Security Determination. When revocation action
C-20
CIA-RDP90-00530R000501000004-7 ?
r ebruarY 1984
is recommended and the person is also being con-
sidered or being processed for elimination from
the US Army, the commander will monitor the
person's elimination. The Commander will take
all appropriate measures to expedite the resolu-
tion of the proposed revocation before elimine.
tion. If the person is eliminated from military
service before a final security determination by
CCF, the following actions will be completed: ?
(1) CCF will be notified that the person has
been discharged.- -Notification will include full
identifying data and will reference the report of .
access suspension. A copy of the order authorizing'
discharge will be forwarded as an inclosure to DA
From 5248-R.
(2) If the DA Form 873 was not previously for-
warded to CCF, it will be withdrawn from the pen!
son's NIPRJ, the "Remarks" block annotated:
"Eliminated from the US Army -for cause?
(date)", and forwarded to CCP.
e. Derogatory information on persons not hav-
ing a security clearance. When commanders be-
come aware of derogatory information falling
within the criteria of paragraph 2-200 pertaining
to persons who do not possess or require a security
clearance, it will be reported to CCF on DA Form
5248-R. Reports of derogatory information per- ?
taining to these persons should be limited to that
significant information which could have an im-
pact on any future request for clearance and to
that which is not retrievable from files of investi-
gative agencies (for example, DIS or CRC). Only.fi-
nal reports will be submitted on persons who do
not possees a security clearance.
15. Denial and/or Revocation of Security Clear-
ances:
a. Commander, CCF, is the DA authority for de-
nial and/or revocation of security clearances un-
der paragraph 1-400d.
b. When credible derogatory information is re-
ceived at CCF and an adverse security clearance is
considered, CCF will forward a Letter of Intent
(LOI) to deny or revoke a security clearance to the
person, through the commander, under paragraph
8-201. This LOI will furnish the reason why the
adverse action is being considered and offer the
person an opportunity to reply in writing with an
explanation or reflection of the issues outlined in
the LOI. A period of 60 days from date of receipt
will be allowed for the reply to the LOI to reach
CCF.
c. The commander will insure that the person
acknowledges receipt of the LOI by signing and
dating the form letter enclosed with the LOI. The
person will indicate his or her intention regarding
submission of a rebuttal. The form letter acknowl-
_ Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7
ery
eing eta
tioo
anitop-Z
t4
he ream _
e el
ci
eted:
3eroori hit
clude
repon-
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)m the plo,
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enders
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ase
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ont
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)ns who'
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Declassified and Approved For Release 2013/01/29:
February 1984
edging receipt of the LOI will be immediately for-
warded to CCF by the official who presents the let-
ter to the person.
d, All replies to LOI will be indorsed to the Corn-
'mender, CCF, by the person's immediate com-
mander through channels. Indorsements should
address the issues outlined in the LOI and include
commander's recommendation(s) whether the per-
son should or should not retain a security clear-
ance. Commander's comments should not be re-
atricted to an evaluation of the person's duty per-
formance. Comments include the following:
(1) Include a length of time a commander has
know the person.
(2) Indicate whether the person has or has not
taken any steps to change his or her conduct or be-
bavior.
-
(3) Personal knowledge of the person's char-
acter traits.
s (4) Any other information which tends to
show whether the person is or is not a security
risk.
e. The additional time required to forward the
person's response through channels must be con-
sidered in the 60 days allowed for return of the
WI to CCF. Commanders will give the person a
realistic suspense date in which to reply to the LOI
to allow adequate mailing time through channels.
If unusual circumstances will prevent the person's
reply from reaching CCF within 60 days from the
date of receipt of the LOI, an extension must be re-
quested before the 60 day suspense explaining the
reason for the delay and indicating the date that
the reply may be expected.
f. When CCF receives the response to the LOI, it
will be considered and then a final determination
. will be made. The final determination will be fur-
Dished to the commander who will advise the per-
son.
g. Whenever a LOI or final letter of revocation
or denial is received concerning a person who is no
longer assigned to the command, one of the fol-
lowing actions will be taken:
(1) If the person is transferred, indorse the
LOI or revocation or denial to the gaining corn-
mand to complete the action and forward an infor-
mation copy of the indorsement to the Command-
er, CCF.
(2) If the person has been released from active
'duty and has a reserve obligation, forward the LO1
or denial or revocation to the US Army Reserve
Components and Administration Center, ATTN:
AGUZ-SOC, St. Louis, Missouri 63132. Forward
an information copy of the indorsement to the
Commander, CCF.
(3) If the person has been discharged from mil-
CIA-RDP90-00530R000501000004-7
AR 604-5
itary service 7,,ith4to reserve obligation, advise
?CC artgAish a copy of the orders.
ThelVhen a person is itlearepratedly military or
civilian authorities as a result of a conviction of a
criminal offense, or when a person is dropped
from the rolls as a deserter, the commander will
immediately take the following actions:
(1) Withdraw the DA Form 873 from the per-
son's MPRJ or OPF and stamp or print across the
face, "Revoked by authority of Commander, CCF,
Deserted-(date)" or "Revoked by authority of
Commander, CCF, Incarcerated as a result of Civil
Conviction or Court Martial-(Date)", as appropri-
ate for military and civilian personnel.
(2) Forward the DA Form 873 with a DA Form
5248-R explaining circumstances to the com-
mander, CCF.
i. Under paragraph 5-6, AR 600-37, CCF is re-
quired to provide unfavorable information devel-
oped during the conduct of the PSI to both the DA
Suitability Evaluation Board (DASEB) and the ap-
propriate MILPERCEN, Army Reserve or NGB
personnel management office (PMO) on all senior
enlisted, commissioned or warrant officer person-
nel. Specifically included is any information
which results in denial or revocation of a security
clearance. However, the regulation does not ex-
clude providing other significant unfavorable in-
formation which does not result in an adverse se-
curity clearance action. The responsibility for de-
termining which information is to be retained in a
person's OMPF remains with the DASEB. CCF will
notify those persons through command channels
on whom information and/or files are being for-
warded to either the DASEB or the PMO.
16. Civilian Applicant for Noncritical-Se,resitiynk
and Critical-sensitive positions. bl./AP11.-
a. Under emergency conditions, a waiver of in-
vestigative requirements for-appointit to a
sensitive position may be authorized only by ;Pie
of the authorities specified in paragraph G, appen-
dix F. The emergency finding will become a mat-
ter of record in the OPF, including a statement of
justification as to why inherent delay in appoint-
meat pena.
gation
paragr
b. hit
I be harmfu
ph 3-204.
tion of the required investi-
to the astin.ndinteregan,See
rity clearance granted for civil-
ian applicants appointed under emergency condi-
tions to sensitive positions will be processed ac-
cording to paragraphs 5c(2) and 5d(1), above (see
pars 3-800.)
17. Foreign National Personnel. Upon request,
CCF conducts a check of the DCII and requests
that the investigative agency forward any existing
investigative file to the requester. Request for
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Declassified and Approved For Release 2013/01/29
AR 604-5 IF
checks may be submitted by message, letter, or DA
Form 2784-R, and will clearly indicate "Foreign
National" in the "Remarks" block. Notification of
a DCH "No Record" is forwarded to requester, if
appropriate.
18. Special Access. Once a person's clearance has
been granted by CCF, special accesses such as
NATO, CENTO, CNWDI, SIOP-ESI, etc., will be is-
sued by the commander responsible for control-,
:X-1
ing these accesses, according to appropriate
c
Army regulations. However, authority to grant ac-
cess "ibiijz. to SCI is retained by the Com-
mander, tF.
19. Surety Programs. Security clearance determi-
nations for surety position nominees under AR
50-5, AR 50-6, and AR 380-380 will be made by
CCF. Personnel reliability/surety program deter-
minations remain the responsibility of the unit
commander.
a. Nuclear Surety Program (AR 50-5).
(1) All clearance requests will be submitted to
CCF on DA Form 5247-R or in comparable mes-
sage format under paragraph 6b, above. The re-
quest will indicate "AR 50-5 (Nuclear Surety) sup-
plies" and specify the position as "Critical" or
"Controlled" in item 11.
(2) Request for investigation submitted to DIS
will indicate "Nuclear Weapons Position" in item
6b of DD Form 1879. Requesters will conspicuous-
ly annotate the "Remarks" Block of DD Form
1584, DD Form 398-2, or DD Form 1879 with
"Nuclear Surety (Controlled)" or "Nuclear Surety
(Critical)", as appropriate.
b. Chemical Surety Program (AR 50-6).
(1) All clearance requests will be submitted to
CCF on DA Form 5247-I4 or in comparable mes-'
sage format under paragraph 6b above, and will
indicate "AR 50-6 (Chemical Surety) applies" in
item 11.
(2) Request for investigation submitted to DIS
will indicate the degree of access required and
"Other" in item 6b of DD Form 1879. Requesters
will conspicuously annotate the "Remarks" Block
of DD Form 1584, DD Form 398-2, or DD Form
1879 with "Chemical Surety."
c. Automated Systems. Security (ADP) (AR
380-380).
(1) All clearance requests will be submitted to
CCF on DA Form 5247-R or in comparable mes-
sage format under paragraph 6b, above, and will
indicate "AR 380-380 (Apy?Supet applies" in
item 13. 4?...
(2) Request for investigation submitted to DIS
will indicate "Automated Systems Surety" in the
"Remarks" block of DD Form 1584, DD Form
398-2. or DD Form 1879. Item 6 of DD Form 1879
r_.99
: CIA-RDP90-00530R000501000004-7, i,ebruary 1984
will indicate the degree of access required and
"Other."
d. Surety Program Determination. Currently,
CCF is routinely reviewing all cases for PRP/Sure-
ty consideration. Therefore, if the investigative
file contains no disqualifying information, the fol.
lowing comment will appear in the remarks sec.
tion of the DA Form 873: "PRP/SURETY CON-
SIDERED." If the clearance request processed at
CCF after 1 August 1981 indicates that the person
is being considered for a PRP/Surety position and
the comment "PRP/SURETY CONSIDERED" is
not annotated in the remarks section of the DA
Form 873 issued by CCF, the file will automatical-
ly be forwarded to the local commander under
separate cover for his or her PRP/Surety determi-
nation. The comment "PRP/SURETY CONSI-
DERED" means that as of the date of this security
clearance no disqualifying information was
known by CCF. If a substantial period of time has
elapsed between the date of the clearance and the
date the person is being considered for a
PRP/Surety position, recommend that a DA Form
5247-R or message in DA Form 5247-R format be
submitted. If no subsequent disqualifying infor-
mation has been developed, CCF will issue a cur-
rent DA Form 873. As PRP Surety was not always
routinely considered by CCF, the absence of this
comment on a DA Form 873 granted before 1 Au-
gust 1981 does not automatically indicate that the
investigative file contains information which
must be considered by the commander. Copies of
completed investigations will be forwarded to the
requester by CCF?
(1) When clearance is granted. However, the
investigation contains information which may be
of a disqualifying nature as indicated in one of the
above PRP/surety programs.
(2) When the investigation on which the clear-
ance is granted does not meet the 5 year time re-
quirement for assignment to surety duties and the
information in the previous investigation may be
of a disqualifying nature. This will allow the com-
mander to consider the prior derogatory informa-
tion which may preclude the assignment and elim-
inate requests for investigations.
20. Nomination and Eligibility Determination
Procedures for SCI.
a. Nomination Procedures. A person requiring
SCI access should be nominated to CCF as soon as
he/she is identified. This will permit a timely eligi-
bility determination. These procedures apply to
routine nominations, requests for one time SCI ac-
cess, and SCI access formerly referred to as "Com-
pelling Need." Paragraph 1103a of DOD Directive
S-5200.17(M2) requires annotation or coding of
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Declassified and Approved For Release 2013/01/29:
e Dru a ry iio
requisitions for military personnel who will re-
quire access to SCI. Submission of a nomination
before the person's arrival in the command, even
though complete personnel data may not be avail-
able, will save time in many instances. However,
the social security number and full name are
needed as a minimum. Nominations will be sub-
mitted by either the losing or gaining SSO as soon
as it becomes apparent the person will require SCI
access at his or her new assignment. DA Form
5247-R or message in DA Form 5247-R format
will be used to submit nominations.
(1) Time remaining in a command or position
is not a bar to submitting a nomination. As a
guideline, persons should not be nominated for ac-
cess unless there is reasonable assurance that they
will be retained in an authorized billet. This
should be at least a year from the date of indoctri-
nation in a long tour area and 6 months in short
tour area.
(2) Every attempt will be made to submit
nominations in an uncla,sified format. Compart-
mented information will be included only when
absolutely essential and classified accordingly.
(3) Nominees for SCI access will be personally
interviewed under appendix G whenever possible
to eliminate requests for SBIs for potentially un-
qualified persons.
(a) When it is not feasible to conduct the re-
quired personal interview before requesting the
SBI, the DD Form 1879 will be annotated in item
20 citing the reason. When the interview is con-
ducted, Item 20 of the DD Form 1879 will include
the statement, "Personal interview conducted by"
(cite the name and title of the designated official
and his or her duty assignment).
(b) The personal interview will be con-
ducted to determine if any of the criteria listed in
paragraph 2-200 exists. The guidelines in appen-
dix G apply. ,
(c) Unfavorable or questionable informa-
tion developed through the personal interview
will be detailed on DD Form 1879 under Item 20 in
all instances in which an SBI is requested.
(4) Before submitting a request for an SBI, the
following guidelines will be used to determine the
propriety of requesting an SBI for SC! access:
(a) The person must not be under flagging
action under AR 600-31.
(b) The person must not be currently under
psychiatric care or participating in any drug and
alcohol rehabilitation program.
(c) The person must not have any adverse
ction pending under paragraph 8-201.
(d) The person must not have any civil litiga-
tion pending.
CIA-RDP90-00530R000501000004-7 ?
V AR 604-5'
(e) The person and spouse, parents, brother,
sister, children, or other persons with whom he or
she is bound by affection or obligation must be US
citizens. .Requests for waiver of this criterion
based on a compelling operational requirement
will be forwarded to CCF through SSO channels.
CCF must approve the request before submission
of the SBI to DIS. The waiver authority will be
cited in Item 20 of the DD Form 1879 upon submis-
sion to DIS. See paragraph 22 below for specific
guidelines concerning foreign national arfili-
ations.
(f). Unresolved derogatory information
should not normally be used to disqualify a person
without a complete investigation. Information of
this type will be adjudicated by CCF after comple-
tion of the investigation. If the commander feels
the derogatory information furnished by the per-
son or developed during the local records check
clearly warrants denial of SC! access, the nomina-
tion derogatory information will be forwarded to
CCF with the SBI packet attached.
b. Eligibility Determination Procedures. A per-
son must be the subject of a favorably completed
SBI or SBI-PR within the past 5 years to be de-
clared eligible for SCI access except as noted in
b(3) and d below. After receipt of a nomination,
CCF will review all files available and determine
the person's SCI access eligibility.
(1) If a favorable determination is made, SCI
access will be granted concurrently with a TOP
SECRET clearance. Notification to this effect will
be sent to the nominating SSO or other appropri-
ate authorities, followed by a DA Form 873 to the
UIC listed in the nomination.
(2) If the person lacks the investigative basis
for granting SCI access, the requestor will be noti-
fied to submit a request for an SBI to DIS. How-
ever, if it is reasonably certain the person has no
SBI or the SBI is no longer valid (14b(3)), the sup-
ported command will submit a request for SBI to
DIS and nominate the person to CCF no earlier
than 30 days after the submission of the SBI re-
quest to DIS.
(3) When the SBI is 4 years, 9 months old, an
SBI-PR wuld normally be submitted to DIS.
(4) If the person is determined to be ineligible
for SCI access, the case will be processed under
paragraph 8-201VThe requestor will be notified
of the person's SCI access and clearance determi-
nation.
(5) If the person is determined to be eligible
for SCI access, then elects not to execute the SCI
Nondisclosure Agreement (NDA), the indoctrina-
tion process will be terminated. The person will be
notified that SCI access will not be authorized
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AR Declassified and Approved For Release 2013/01/29: CIA-RDP90-00530R000501000004-7 ?
L1L2LUary984
based on the lack of consent to sign an NDA. CCF
will be notified of the refusal to execute the NDA.
c. Nomination for One Time SCI Access. In most
cases, an approved billet will exist before the in-
cumbent is nominated for SCI access. Exceptions
are nominations for one time access to attend a
conference, briefing or other situations in which
temporary SCI access appears warranted, but es-
tablishment of a permanent billet is not.
(1).....For one time SCI access, a nomination mes-
sage will be forwarded to SSO DAMASSG-0S?
M//with an information copy to SSO
MEADERPCCF?PRJ/. .Use DA Form 524741 for-
mat requesting the person be granted one time SCI
access. The subject of the message will be changed
to read "Nomination for One Time SCI Access"
and will include justification and date(s) needed. If
the justification for one time access is approved by
CDR, '..ISASSG, the requesting SSO will be noti-
fied.
(2) Normal SCI investigative standards (favor-
able SBI completed within the past 5 years) apply
in cases involving one time SCI access. CCF will
make eligibility determination and notify the re-
questing SSO. Before indoctrination, the nominat-
ing SSO will insure that he or she has received the
approval from both CDR, USASSG, and CCF.
(3) If there is an exceptional requirement for
SCI access before completion of the investigation,
the provisions of paragraph 20d below, apply.
d. Interim SCI Access.
(1) Interim SCI access may be granted when
the need for access to SCI is of such urgency that
the benefits to be gained by indoctrination would
far outweigh the security risk involved. This term
is not to be confused with the "need to know" cri-
terion which establishes the billet.
(2) All requests for exceptions to personnel se-
curity or investigative standards must clearly
state and describe the compelling need. Requests
must show how denial of access will impact on the
ability of the organization to accomplish its as-
signed mission. To minimize the need for the use
of interim SCI access requests, command or organ-
ization personnel management procedures will in-
sure that SCI coded personnel requisitions are
used for all persons who will require SCI access.
Only a person in the grade of 0-5 (civilian equiva-
lent) or above acting in the capacity of command-
er, organization chief, senior intelligence official,
or other senior/command officers can request ex-
ceptions to the personnel security or investigative
standards for interim SCI access.
(3) When nominating a person and interim SCI
access is required, the following actions will be
taken:
C-24
(a) Send a nomination message through SSO
channels to CCF using DA Form 5247?R format.
Change the subject of the message to read, "Nomi-
nation for Interim SCI Access."
(b) Include in the Remarks Section of DA
Form 5247?R the results of the personal interview
conducted under paragraph a(3) above. If unfavor-
able information is surfaced during the personal
interview or the local files checks, the nomination
will not be submitted as an interim SCI access re-
quest. However, the follow-up SBI by DI'S may be
submitted to resolve any questions except as indi-
cated in a(4) above.
(c) SSO will provide an evaluation and rec.
ommenda tion.
(d) If an SBI is pending at DIS and later de-
termined that interim SCI access is required, nom-
inations for interim SCI access should not be sub-
mitted to CCF until the SBI lids been opened at DIS
for a minimum of 45 days.
Note: The reason for this time restriction is that it takes
DIS 30-45 days to acquire all pertinent filet, for review.
(e) If SCI access will be required for a per-
son, and an SBI has not been submitted to DIS, a
nomination for interim SCI access will be sub-
mitted to CCF for an initial determination before
submitting the SBI request to DIS. After receipt of
a favorable interim SCI access determination, and
before indoctrination, the SBI request. will be sub-
mitted to DIS.
(f) The nomination must indicate the person
(if military) has been or will be granted, as a mini-
mum, an inteilm TOP SECRET clearance, under
paragraph 5a. If the person is a DA civilian, he or
she must, as a minimum, have an interim TOP
SECRET clearance granted before the nomination
under paragraph 5b. If the person is a contractor,
he or she must have, as a minimum, an interim
TOP SECRET clearance granted by DISCO.
21. Suspension and Termination of SCI Access.
Paragraph 16, DCH) 1/14, requires that security
programs be tailored in such a way that "no issue
will escape notice or be left unresolved which
brings into question a person's loyalty and integri-
ty or suggests the possibility of his being subject to
undue influence or duress through foreign rela-
tions or exploitable conduct." In that regard, both
Security managers and SSOs have the responsibili-
ty to establish and maintain close and continuous
coordination in order to administer an effective
and mutually supporting security program.
a. When a commander or SSO becomes aware of
adverse or derogatory information falling within
the scope of paragraph 2-200 pertaining to an in-
doctrinated person, prompt consideration will be
given by the SSO to suspending SC! access. SSOs
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will not debrief a person under these conditions
without prior authority from CCF. Whether or not
the person's access is suspended, the adverse infor-
mation will be reported to CCF on DA Form
5248-R or message in DA Form 5248-R format.
The supported command's Security Manager will
determine whether the person's access to classi-
fied information should also be suspended under
paragraph 14.
b. In addition to the criteria outlined in para-
graph 2-200, the engagement, marriage or close
associations with a foreign national may be cause
for suspension of access. See paragraph 22 for de-
tails.
c. Concurrent with suspension action, an inves-
tigation or commander's inquiry is normally initi-
ated or requested to permit a complete and timely
adjudication at CCF.
d. After completion of an investigation or inqui-
ry, DA Form 5248-R will be forwarded to the
Commander, CCF. This will contain the command-
er's evaluation and recommendations concerning
eligibility for SCI access and security clearance.
Any other pertinent documentation or informa-
tion which would aid in the adjudication of the
case will be included.
e. After receipt of the final DA Form 5248-R
and all pertinent investigative files, ? CCF will
make a determination on the person's continued
eligibility for SCI access and security clearance.
The SSO and other appropriate authorities will be
notified of both the SCI access and security clear-
ance determination. The Commander, CCF, is the
sole authority for reinstatement of SCI access
once a suspension action has been taken except un-
der conditions described in paragraph 7-102f.
f. SCI indoctrinated personnel who seek profes-
sional guidance from psychiatrists, psychologists,
other mental health practitioners, or alcohol and
drug abuse personnel will report these requests
for assistance to their Security Manager and local
SSO.
(1) After notification of an indoctrinated per-
son's participation in one of the above programs,
SCI access may be suspended by the SSO depend-
ing on the circumstances. Regardless of whether
suspension action is taken, participation and the
reason(s) will be reported to CCF as outlined in
paragraph a above to the local Security Manager
of the supported command.
(2) After completion of the rehabilitation pro-
gram, the person's Security Manager will report
all the details, to include written professional
evaluations of the rehabilitation, to CCF by DA
Form 5248-R. Include recommendations to conti-
nue or withdraw SCI access. CCF will make a final
: CIA-RDP90-00530R000501000004-7
AR 604-5
determination in the same manner shown in e,
above.
(3) In all cases where an indoctrinated person
obtains professional counselling from a mental
health practitioner, the Security Manager will ob-
tain a current evaluation by a qualified psychia-
trist (M.D.). The psychiatrist must be US Govern-
ment employed or contracted.
g. While SSOs have the authority to suspend SCI
access after receipt of adverse information, they
do not have the authority to debrief the person for
cause. Formal debriefing for cause will be taken
only after CCF approval or for other reasons cited
in TB 380-35.
22. Foreign National Affiliation.
a. Paragraph 5b, DUD 1/14, requires that both
the subject and members of his or her immediate
family be US citizens. Immediate family is defined
as the person's spouse, parents, brothers, sisters,
and children. The members of'the person's imme-
diate family and any person to whom he or she is
bound by affection or obligation should neither be
subject to physical, mental or other forms of dur-
ess by a foreign power. Neither should they advo-
cate the use of force or violence to overthrow the
Government of the US or the alteration of the
form of Government of the US by unconstitution-
al means.
b. If the subject is foreign born:
(1) Established criteria may be waived if sub-
ject was?
(a) Born in a non-communist country and is
now a US citizen. Subject maintains no close for-
eign ties and has not had extensive residence in or
near his or her native country since his or her orig-
inal entry into the US, except as a result of direct-
ed Federal service. Voluntary foreign service may
not necessarily be considered directed Federal
service when the foreign service was requested 1_-,y
subject or directed according to the subject's pref-
erence for residence in a foreign country.
(b) Born in what is now a Communist Bloc
Country (CBC) but has not resided under a com-
munist regime, is a US citizen and maintains no
ties in a CBC.
(2) Established criteria normally may not be
waived if ?
(a) Subject was born in a CBC, has resided
under a communist regime, and has relatives or as-
sociates residing in a CBC with whom he or she
maintains close ties.
(b) Subject maintains close ties in a CBC, re-
gardless of country of birth or residence.
(c) Subject is not a US citizen.
(d) Subject is a US citizen (native or natura34
ized) but has had extensive residence in or near his
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Art bk.14-o
or her native country or country of ancestral ori-
gin that was not a result of directed Federal serv-
ice. Voluntary foreign service may not necessarily
be directed Federal service when the foreign serv-
ice was requested by subject or directed accord-
ingly to the subject's preference for residence in a
foreign country.
c. If a nominee for SCI access has a foreign na-
tional spouse, he or she is normally not eligible for
SCI access. The prenomination interview required
by paragraph 20a(3) should reveal the presence of
a foreign national spouse and will normally pre-
clude further processing of the SBI paperwork to
DIS. This is particularly true in cases requiring a
compelling need when the nominee is identified by
the losing command as requiring SCI access for a
projected assignment. The losing command cannot
determine the existence of a compelling need sit-
uation at the gaining command. When this situa-
tion arises, MILPERCEN should be immediately
notified and further SCI processing should be sus-
pended pending notification by MILPERCEN.
(1) The DCID 1/14 criteria may be waived for.
nominees with foreign born spouses only if the fol-
lowing factors apply:
(a) Spouse.was born in and is a citizen of a
CANUKUS (Canada, Australia, New Zealand,
United Kingdom and United States) country.
(b) Spouse was born in a non-communist
country other than CANUKUS and is a US citizen.
(c) Spouse was born in what is now a CBC,
but has not resided under a communist regime,
maintains no ties with anyone in a CBC, and is a
US citizen. ?
(d) Spouse was born in a non-communist
country other than CANUKUS, has demonstrated
by observable action an allegience to the United
States, and has declared an intent to become a US
citizen. The supported command must also vali-
date a compelling need for the nominee to have
SCI access and there must be no evidence of anti-
American feelings demonstrated by the spouse.
The above applies if the spouse was born in what
is now a communist country, but has never resided
under a communist regime, and maintains no CBC
ties.
(2) Established criteria normally may not be
waived if?
(a) Spouse was born a citizen of a CBC, has
resided under a communist regime and/or main-
tains ties with person(s) residing in a CBC.
Spouse's obtaining US citizenship does not alter
the circumstances.
(b) Spouse is not a US citizen nor a citizen of
a CANUKUS country, has not demonstrated by ob-
servable action an allegiance to the US, and de-
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CIA-RDP90-00530R000501000004-7 .
1 Fetinwr: 1984
dared the intent not to become a citizen. 1
d. If a nominee for SCI access has parents,
brothers, sisters or children who are not US chi.
zens, he or she is not eligible for SCI access.
(1) The DCB) 1/14 criteria may be waived
provided there is no evidence of anti-Americal
feeling, and the parents, brothers, and sisters or
children were? .
(a) Born in CANUKUS country.
4
(b) Born in a non-communist country, other
than CANUKUS, and residing in the US.
(c) Born in a non-communist country, other
than CANUKUS, and residing in that country. The
nominee must not be subject to coercion or prea?
sure through these family members and contac:t
must not be excessive.
(2) DCID 1/14 criteria may also be waived.
provided that the supported command validated a
compelling need according to this paragraph and
the nominee's parents, brothers and sisters, or
children were?
(a) Born in CBC, but reside in the US.
(b) Born in what is now a CBC, but have not
resided under a communist regime, maintain no
communist bloc country ties, or reside in other
than the US or their native country.
(3) Established DUD 1/14 criteria will not
normally be waived, even with a valid compelling
need, if parents, brothers and sisters or children of
the nominees are citizens and residents of a CBC,
regardless of the degree of contact with the nomi-
nee.
e. SCI indoctrinated personnel who marry a for.
eign national may be permitted continued SCI ac?
cess upon approval of a waiver of the DCID 1114
criteria by CCF. This will be accomplished after a
compelling need for their services has been de-
clared by the supported command and the security
risk is determined to be negligible. Waivers may
only be requested by?
(1) Officers on indefinite status.
(2) Enlisted personnel on second or subse-
quent enlistments.
(3) Enlisted personnel in CMF 33 or 98.
(4) Career civilian employees.
(5) Contractors.
(6) Other personnel determined by the coiTh
mand to be absolutely essential to the command's
mission.
(7) Personnel who have had extensive prior
SCI access and who are now married to foreign na'
tionals and fall into one of the aforementioned
categories.
f. Requests for waiver for personnel in CMF 33,
or 98 need not be accompanied by a compelling
need statement since possession of either CMF has.
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AR 604-5
1 February 1984
APPENDIX D
TABLES FOR REQUESTING INVESTIGATIONS
Table D-1
RULE
GUIDE FOR REQUESTING BACKGROUND INVESTIGATIOI4S (EL)
A
If the individual is a
and duties require
then a BI is required before
U.S. national military member Top Secret Clearance
or civilian employee
granting final cleai-a.nce
U.S. national civilian employee assignment to a "Critical-sensi-
tive position"
issigninent to the position
U.S. national military member occupying a "critical" position
or civilian employee in the Personnel Reliability
Program (PRP)
occupying a "critical" position
4 U.S. national military member
or civilian employee
granting, denying clearances
performing clearance functions
5 U.S. national military member
or civilian employee
membership on security appointment to the board
screening, hearing, or review
board
6 immigrant alien
Secret or Confidential clear- granting clearance
ance
non-U.S. national employee ex-
cluding immigrant alien
limited access to Secret or Con-
fidential classified information
authorizing limited access
U.S. national military member
or civilian employee
assignment to a category two
Presidential Support position
assignment
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Table D-2
RULE
GUIDE FOR REQUESTING SPECIAL BACKGROUND INVESTIGATIONS (SBI)
A
If the individual is a and duties require
then a SBI is required before
? 1 U.S.?nitional military member acCess to SCI
-- or civiLiavemployee
granting access
2
assignment to a category one
Presidential Support position
assigiunent
3
access to SIOP-ESI
granting access
4
assignment to the National
? Security Agency
access to any other Special Ac-
cess programs 41.
assignment
granting access
6
assignment to perionnel secu-
rity, -counterintelligence, or
criminal investigation support
duties
assignment
Do not request SBI if previous SBI is less than 5 years old, there has been no break in military service or DoD employment grater than
year, and there is no record of significant derogatory information since completion of the previous SBI.
D-2
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1 February 1984 AR 604-5
Table D-3
RULE
GUIDE FOR REQUESTING PERIODIC REINVESTIGATIONS (PR),...1
A
If the individual is
1 U.S. national military member
or ciVilian employee
and duties involve
access to SCI
then a PR is required
to be submitted 4 years 9
months after date of last SBI
or SBI/PR while assigned to an
SCI position
assignment to Presidential
Support activities
4 years 9 months after date of
last BIJSBI 1 or PR, while as-
signed to position
assignment to a critical posi-
tion in the PRP
before assignment to position,
if prior investigation is 5 years
old
assignment to a controlled
position in the PRP
before assignment to position
if prior ENTNAC/NAC/NACI
is over 5 years old '
at 5-year intervals after initial
assignment
U.S. national civilian employee assignment to a Critical-sensi-
tive position
6 Non-U.S. national employee
current limited access to Secret at 5-year intervals after having
or Confidential classified infor- access
mation
According to whether subject is in category one or two position.
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111,
Table D-4
RULE
GUIDE FOR REQUESTING NATIONAL AGENCY CHECKS (NAC)
A
If the individual is a
and duties require
1 U.S. national military member Secret clearance
or civilian employee
Interim Top Secret
then a NAC is req_uired
before granting clearance (note
1)
before granting interim clear-
ance (note 2)
3
retention in the Armed Forces
(including National Guard and
? Reserve)
to be initiated NLT three work
days after entry (note 3)
reentering after break in mili-
tary service or Federal employ-
ment exceeding 1 year
to be initiated NLT three work
days after reentry
applicant for appointment as a
commissioned officer
commission in the Armed
Forces
before appointment (after ap-
pointment for health profes-
sionals, chaplains, and attor-
neys, under conditions author-
ized by paragraph 3-303 of
this Regulation)
6 Naval Academy Midshipman,
Military Academy Cadet, or
Air Force Academy Cadet
enrollment
to be initiated 90 days after
entry
Reserve Officer Training Corps entry to advance course or Col-
Cadet or Midshipman lege Scholarship Program
to be initiated 90 days after en-
try
8 nominee for military education education and orientation of
and orientation program military personnel
before performing duties
9 U.S. national military member unescorted entry to areas de- before authorizing entry
or civilian employee fined in paragraph 2-501.a.
10 U.S. national military or civil- occupying a controlled position
ian employee in Nuclear Weapon PRP (refer-
ence (q))
before assignment
11
immigrant alien interim Confidential clearance before granting clearance
12 nonappropriated fund appointment as NAFI cus- before appointment
instrumentality (NAFI) todian
13 employee (reference (s)) accountability for nonappropri- before completion of probation-
ated funds ary period
14 fiscal responsibility as deter-
mined by NAFI custodian
15 U.S. national civilian employee waiver under provisions of before appointment (note 4)
nominee for customs inspec- reference (t)
tions
16 U.S. national Red Cross/United assignment with the Armed before assignment
Service Organization personnel Forces overseas
Notes: 1. NAC not required if individual has current ElsiTNAC.
2. New NAC not required if prior NAC less than 12 months old.
3. Request ENTNAC only.
4. A NAC not over 5 years old suffices unless there has been a break in employment over 12 months. Then a current NAC is re
quired.
D-4
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'OVA, -?Q ;:q
a;r1r0,4
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1 February 1984 411. W AR 604-5
Table D-4?Continued
RULE
A
GUIDE FOR REQUFSTING NATIONAL AGENCY CHECKS (NAC)
If the individual is a and duties require then a NAC iA required
U.S. national DoD building pass prior to issuance
Foreign national employed no access to classified informs- prior to employment (note 5)
overseas tion
NOTES: 5. In such cases, the NAC shall consist of: (a) Host government law enforcement and security agency record checks at the city,
state, (province), and national level, and (b) DCII.
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APPENDIX F
PERSONNEL SECURITY DETERMINATION AUTHORITIES
A. Officials authorized to issue personnel security clearance (Top Secret, Secret,
and Confidential):
1. Secretary of Defense and/or designees
2. Secretary of Army and/or designees
3. Secretary of Navy and/or designees
4. Secretary of Air Force and/or designees
5. Chairman, Joint Chiefs of Staff and/or designees
6. Directors of the Defense Agencies and/or designees
7. Commanders of the Unified and Specified Commands and/or designees
8. Assistant Chief of Staff for Intelligence, HQDA and/or designees
. Commander, US Army Central Personnel Security Clearance Facility
and/or designees
B. Officials authorized to grant Limited Access Authorizations:
_ 1. Top Secret
a. Secretaries of the Military Departments
b. Deputy Under Secretary of Defense for Policy Review for OSD
c. Chairman, JCS for OJCS and Unified and Specified Commands
d. Directors of the Defense Agencies
2. Secret
a. Heads of Components and commanders of major commands designated by
them
b. Commanders, Component centralized clearance facilities
c. Assistant Chief of Staff for Intelligence, HQDA
d. Commander-in-Chief, US Army Europe and Seventh Army
e. Commander, Eighth United States Army
f. Commander, United States Army Japan
g. Commander, US Army Western Command
h. Commander, US Army Material Development and Readiness Com-
mand
i. Commander, US Army Communications Command
j. Commander, US Army Criminal Investigations Command
k. Commander, US Army Intelligence and Security Command
1. Commander, US Army Health Services Command
m. Commander, US Army Training and Doctrine Command
n. Commander, US Army Forces Command
o. Commander, US Army Military District of Washington
p. Ccimmander, US Army Finance and Accounting Center
q. Commander, US Army Computer Systems Command
r. Commander, US Army Recruiting Command
s. Commander, Military Traffic Management Command
t. Commander, US Army Southern Command
u. Chief of Engineers, US Army
v. Chief, National Guard Bureau
3. Confidential?Any of the officials authorized to issue Limited Access Au-
thorization under 1. and 2. above.
C. Officials authorized to grant access to SCI:
Director, NSA?for NSA
Director, DLA?for OSD, OJCS, and Defense Agencies
Senior Intelligence Officers of the Army (Assistant Chief of Staff for Intelli-
gence, HQDA), Navy, and Air Force and/or designees?for their respective Mili-
tary Departments.
D. Officials authorized to certify personnel under their jurisdiction for access to
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F--1
AR 604-5 1. February
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1testnctewata (to include Critical Nuclear Weapirsign Intormation): see en-
closure to-goD Directive 5210.2 (AR 380-150Xreference (x)).
E. Officials authorized to approve personnel for assignment to Presidential Sup-
port activities: The Special Assistant to the Secretary and Deputy Secretary of
Defense or designee.
F. Officials authorized to grant access to SIOP-ESI:
1. Director of Strategic Target Planning
2. Director, Joint Staff, OJCS
3. Chief of Staff, U.S. Army
4. Chief of Naval Operations
5. Chief of Staff, U.S. Air Force
6. Commandment of the Marine Corps
7. Commanders of Unified and Specified Commands
8. The authority to grant access delegated above may be further delegated in
writing by the above officials to the appropriate subordinates.
G. Officials authorized to designate sensitive positions:
1. Heads of DoD components or their designees for critical-sensitive position:
a. Under Secretary of the Army
b. Assistant Secretaries of the Army
c. Deputy Assistant Secretaries of the Army
d. Chief of Staff
e. Heads of DA Staff Agencies
f. Commander-in-Chief, US Army Europe and Seventh Army
g. Commander, Eighth United States Army
h. Commander, United States Army Japan
i. Commander, US Army Western Command
j. Commander, US Army Materiel Development and Readiness Command
k. Commander, US Army Communications Command
1. Commander, US Army Criminal Investigations Command
m. Commander, US Army Intelligence and Security Command
n. Commander, US Army Health Service Command
o. Commander, US Army Forces Command
p. Commander, US Army Training and Doctrine Command
q. Commander, US Anny Military District of Washington
r. Commander, US Army Finance and Accounting Center
s. Commander, US Army Computer Systems Command
t. Commander, US Army Recruiting Command
u. Commander, Military Traffic Management Command
v. Commander, US Army Southern Command
? w. Chief of Engineers, US Army
x. Chief, National Guard Bureau
Note: These officials may redelegate this authority to subordinate commanders as deemed
eceasary.
2. Organizational commanders for noncritical-sensitive positions.
F-2
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1ryzjEut, y 1009,
Alt b04-5
APPENDIX I ? ?
ADJUDICATION GUIDELINES
?
INTRODUCTION
The attached guidelines have been developed to assist DoD personnel security ad-
judicators in making determinations with respect to an individual's eligibility for
employment or retention in sensitive duties or access to classified information.
While equity demands reasonable consistency in evaluating individual cases, the
nature and complexities of human behavior preclude the developement 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 procedure. On the contrary, the guidelines are intentionally
broad and general, demanding continued dependence on the adjudicator's sound
judgement, mature thinking and careful analysis. Each case must be weighed on
its own merits, taking into considerations all relevant factors, and prior experi-
ence in similar cases. Each adjudication is to be an overall commonsense determi-
nation based upon considerations and assessment of all available information,
both favorable and unfavorable, with particular emphasis being placed on the seri-
ousness, recency, and motivation for the individual's conduct; the extent to which
conduct was voluntary and undertaken with knoWledge of the circumstances in-
volved; and, to the extent 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 the
clearance or assignment to the sensitive position is "clearly consistent with the in-
terests of national security."
Financial Irresponsibility
Basis: Failure to meet just and avoidable financial obligations voluntarily in-
curred.
Factors Which May be Considered in Determining Whether to Deny or revoke
Clearances:
1. History of bad debts and unmanageable indebtness.
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. Urifavorable judgments, liens, or repossessions.
6. Deceit or deception, embezzlement, or change of address without advising
creditors.
7. Applicant's indifference to financial obligations in the future.
8. Financial mismanagement or irresponsible expenditures that exceed in-
come 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 indebted-
ness; e.g., major illness, debilitation, decrease or cutoff of income, and indebted-
ness due to court order.
5. Business-related bankruptcy.
I-1
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:
AR 604-5
Criminal Conduct
1 February 1981
Basis: Any criminal violation of a federal, state, or local law.
Factors Which May be Considered in Determining Whether to Deny or Revoke
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 re-
morse, 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 presequi, that the record was expunged, or that the case
was dismissed due to error not going to the merit 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 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 in the distant past (such as, more than 5 years in the
past) in the absence of subsequent criminal conduct.
6. Transitory condition contributing to the conduct (such as, divorce action,
death in the family) in the absence of subsequent criminal conduct.
Sexual Misconduct
Basis: Sexual behavior that makes applicable the guidance for criminal miscon-
duct 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 judgement.
Factors Which May be Considered in Determining Whether to Deny or Revoke
Clearance:
1. The misconduct has been recent or frequent.
2. The applicant indicated explicitly or implicitly an intention to repeat the
mkrnneirr,i-
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1 February 1984 AR 604-5'
3. The applicantappears to be susceptible to blackmail.
5. 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 harrassment.
Mitigating Factors: I
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.
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
Clearances:
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 al-
low medical information to be obtained for the purpose of determining the signifi-
cance of bizarre behavior or conduct.
3, Documented spouse or child abuse.
4. Diagnosis by competent medical authority that. an earlier incapacitating
medical 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 ill-
ness.
Mitigating Factors:
1. No evidence of a psychotic condition for the past 20 years, a serious or dis-
abling neurotic disorder for the past 10 years, or serious character or personality
disorder for the past 10 years.
2. Medical records and'physicians interview reflect that the person's illness or
condition has not caused a significant defect in judgement or reliability.
3, The factor(s) causing the mental conditions 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.
Hostage and Foreig-n Countries
Basis: An applicant who has immediate family members or other persons to
whom he or she is bonded 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. Countries which, based on current asessment of the .U.S. Intelli-
gence Community, possess an intelligence organization with a demonstrated capa-
bility of recruiting and exploiting U.S. personnel for intelligence purposes.
Category II. Countries which, although having national intialligence objectives in-
imical 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.
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AR 604-5
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Factors Which May be Considered in Determining Whether to Den or?Revoke
Clearance:
1. Residence of a member of immediate family or a person to whom the indi-
vidual is bound by affection or obligation in a Category I country.
2. Travel, correspondence, or financial aid to Category I and II countries on a
regular basis without satisfactory explanation.
3. Dating or cohabiting with a foreign national from 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.
Subversive Activity
Basis: Unlawfully advocating or practicing the commission of acts of force or vio-
lence to either 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 spe-
cific intent of furthering the aims of, or adherence tr, and active participation in,
any foreign or domestic organization, movement, group, or combination of per-
sons that support the above-cited activities.
Factors Which May be Considered in Determining Whether to Deny or Revoke
Clearance:
1. Organization is one which 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 or-
ganization.
Mitigating Factors:
1. Lack of understanding of the unlawful aims or objectives of the organiza-
tion.
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 organi-
zation.
5. Immaturity at the time of conduct.
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 adequately
safeguard classified information.
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
judgement, reliability or discretion.
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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.
Drug Abuse
Basis: The illegal or improper use of any psychoactive substance to include any
narcotic,' dangerous drug 2 or Cannabis 3.
Factors Which May be Considered in Determining Whether to Deny or Revoke
Clearance:
1. Experimental abuse of any narcotic or dangerous drug within the past 12
months.
-
2. Occassional abuse 5 of any narcotic or dangerous drug within the last 3
years.
3. Regular abuse 6 or addiction 7 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, manufacturing, sale, distribu-
tion 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 the least 3 years arid:
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 physical or psychological depend-
ence2 ;
1 Narcotic. Opium and opium derivatives or synthetic substi-
tutes.
2 Dangerous Drugs. Any of the nonnarcotic drugs which are
habit forming or have a potential for abuse because of their stimu-
lant, depressant, or hallucinogenic effect.
3 Cannabis. The intoxicating products of the hemp plant,
Cannabis Sativa, including but not limited to marihuana, hashish
and hashish oil.
4 Experimental- Abuse. Abuse occurring not more than a few
times for reasons of curiosity, peer pressure, or other similar rea-
sons.
5 Occasional Abuse. Recurrent 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.
1 Psychological Dependency. The craving for the pleasur:
able 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.
2 Physical Dependence. The adaptive alteration in the
body produced by the prolonged use of a psychoactive substance,
which results in. withdrawl symptoms when the substance's use is
stopped.
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AR 604-5 1 February 198
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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.
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 compro-
mise of classified information.
3. Recent deliberate violations of security regulations, such as taking clas,si-
fled information home or carrying classified while in 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 im-
proper or inadequate security briefing.
2. Individual is personally responsible for a large volume of classified infor-
mation and the violation was administrative in nature, such as inaccurate entry on
document log or certificate of destruction.
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