Security
Clearances
Who
needs a security clearance?
Any person who
has worked or will work for an organization that requires access
to restricted information more than likely has or will need a security
clearance.
The largest
source of individuals with security clearances is the military population.
Once this group finishes their military career, the majority pack
up their uniform and security clearance to look for a civilian job.
There are over 200,000 military personnel transitioning out of the
service each year. These separating military members look for employment
in fields such as the commercial defense-related fields where they
can utilize their expert military training and technical skills.
In addition, these jobs generally require background checks due
to the sensitive nature of the materials the individual handles
on a daily basis - this is where the former military member's clearance
becomes a valuable commodity.
The importance
of a security clearance does not stop with defense contractors.
The medical, telecommunications, education and financial fields
(to name a few) have an increasing number of jobs where company
information needs to be guarded and HR managers seek out individuals
with current security clearances.
Why is
a security clearance so valuable?
Experts project
that a security clearance can increase your salary anywhere from
$5,000 to $15,000, and in some cases, even more. When employers
do not have to invest time and money into a background check and
the paperwork that goes with that, the saved money often goes back
into the employee's salary. Former military personnel who have security
clearances are very appealing to employers. In addition to the thorough
background check that has already been completed, these employees
are disciplined, dependable and have strong leadership skills -
priceless attributes in today's market.
What is
a security clearance?
Certain federal
employees and certain employees in the private sector are required
to have security clearances because their job requires them to have
access to classified documents. Various other work takes place in
secured facilities. The occupant of any such job is said to hold
a "sensitive" position, defined as "any position,
by virtue of its nature, could bring about a material adverse effect
on national security". At any given time, there are about 3
million people with security clearances. In addition, there are
about 1.5 million security clearances in the hands of private contracting
or consulting firms. Contractors participate in what is called the
industrial security program administered by the Defense Industrial
Security Clearance Office (DISCO) which is part of the Joint Information
Systems Technology (JIST), a military agency.
One out of every
thirty Americans has some sort of security clearance. It has been
estimated that one out of every thousand of these can be expected
to compromise the secrets they are entrusted with. Some need money,
some can be blackmailed, some are disgruntled and want revenge and
some are just sloppy. American industry is a prime target for espionage
as well as domestic terrorism and white collar crime.
A security clearance
is technically a license issued by the head of a department, division
or agency of the federal government. The type of security clearance
that one can be approved for also depends upon the department, division,
or agency involved. For classification purposes, the types of security
clearances are:
- Confidential
- Secret
- Top Secret
- Sensitive
Compartmentalized Information (SCI)
- Single
Scope Background Investigation (SSBI)
The Confidential
security clearance is the easiest to obtain. Whereas other classifications
will almost always involve a background check by the Defense Investigative
Service (DIS), clearance programs for a confidential classification
may be operated by the agencies themselves, like the Federal
Bureau of Investigation (FBI), the Department
of Energy (DoE), the Department
of State, etc.
Secret (sometimes
called "Ordinary Secret") and Top Secret classifications
almost always have some amount of military involvement in the clearance
process. These types of licenses are typically found in agencies
like the CIA or NSA. One of the differences between Secret and Top
Secret is how "expansive" the background check is, i.e.,
how far and deep the investigation goes into your dependents, friends
and relatives.
SCI classifications
are only cleared for a few people and the background investigation
process as well as the continual monitoring is extremely intensive.
The amount
of time it takes to receive a security clearance is usually between
six months to one year, if all goes well. Rarely, if ever, are temporary
clearances granted during the review process.
Types
of security clearances:
The scope of
investigative work needed to grant a security clearance depends
on the level of clearance being requested. There are three basic
levels of security classification:
CONFIDENTIAL:
This refers to material, which, if improperly disclosed, could
be reasonably expected to cause some measurable damage to the
national security. The vast majority of military personnel are
given this very basic level of clearance. This level needs to
be reinvestigated every fifteen years.*
SECRET:
The unauthorized disclosure of secret information could be expected
to cause serious damage to the national security. This level is
reinvestigated every ten years.*
TOP SECRET:
Individuals with this clearance have access to information or
material that could be expected to cause exceptionally grave damage
to the national security if it was released without authorization.
This level needs to be reinvestigated every five years.*
* Reinvestigations are more important than the original investigation
because those individuals who have held clearances longer are
more likely to be working with increasingly critical information.
Who can
get a security clearance?
Any person who
is employed by an organization that is sending, receiving, or developing
information that the government has deemed as important to National
security will need to obtain a security clearance.
Currently, there
are more than 500,000 background investigations pending for security
clearance approval. When an individual is going through the process
for clearance, it may take up to a year before a determination is
made. This makes a military candidate who already has clearance
even more appealing to a hiring company. If the company hires a
person who will need to gain a clearance, they may wait over a year
before the person is eligible to work on the project for which they
were hired. This is a lot of lost time and money to a company. If
they can identify a person who has the necessary clearances, such
as a candidate with a military background, that person immediately
becomes more valuable.
How do
you get a security clearance?
There are three
main phases to receiving a security clearance:
The first phase
is the application process. This involves verification of U.S. citizenship,
fingerprinting and completion of the Personnel Security Questionnaire
(SF-86).
The second phase
involves the actual investigation of your background. Most of the
background check is conducted by the Defense Security Service (DSS).
The final phase
is the adjudication phase. The results from the investigative phase
are reviewed. The information that has been gathered is evaluated
based on thirteen factors determined by the Department of Defense
(DoD). Some examples of areas they consider are; allegiance to the
United States, criminal and personal conduct, and substance abuse
or mental disorders. Clearance is granted or denied following this
evaluation process.
How long
are Security Clearances valid?
A Periodic Reinvestigation
(PR) is required every 5 years for a TOP SECRET Clearance, 10 years
for a SECRET Clearance or 15 years for a CONFIDENTIAL Clearance.
However, civilian and military personnel of DOD can be randomly
reinvestigated before they are due for a PR.
A security clearance
is a valuable commodity outside of the military. This is because
civilian companies who do classified work for the Dept. of Defense
(DoD), or a national security related contract, must bear the cost
of security clearances for their employees and clearance investigations
can cost several thousands of dollars. Because of this, many DoD
contractors give hiring preference to ex-military personnel with
current clearances. However, you want to do your job-hunting right
away, after separation. Once your clearance expires, you cannot
simply request that DoD issue a new one or conduct a Periodic Reinvestigation,
simply to make your job-hunting prospects easier. To be issued a
clearance, or to renew your clearance by DoD, your present duties/assignment,
or pending duties/assignment must require such access.
Application
Procedures
Once it is determined
that a military member requires a Security Clearance because of
assignment or job, the individual is instructed to complete a Security
Clearance Background Investigation Questionnaire. DoD requires that
this form be completed by use of a computer software program, known
as ESPQ, instead of the old paper form, the SF-86. You can download
the software to use on your home computer (if you reside in
the United States).
However, it's
not necessary to download and install the software in order to see
what questions are asked in the questionnaire, see ESPQ
SF-86 Questionnaire Worksheet (Word.doc file) and SF-86
(PDF File).
When completing
the questionnaire, for CONFIDENTIAL and SECRET Clearances, it's
necessary to provide information for the previous five years. For
TOP SECRET Clearances, one must provide information for the previous
ten years. It's important to note here that giving false information
on a Security Document constitutes a violation of Title 18, United
States Code, Section 101, and Article 107 of the Uniform Code of
Military Justice (UCMJ). Under the United States Code, one may be
fined as well as imprisoned for a period of five years. Under the
UCMJ, the maximum punishment includes reduction to the lowest enlisted
grade, forfeiture of all pay and allowances, confinement for a period
of five years and a dishonorable discharge.
You may wish
to note that page 10 of the SF-86 contains a statement which you
sign authorizing release of ANY information about you to Security
Clearance Investigators. This means that investigators can access
any and all information about you, including sealed records, juvenile
records, expunged records and medical records.
Once you complete
the ESPQ, the document is sent to the Defense Security Service (DSS)
(formerly the Defense Investigative Service (DIS)). DSS is responsible
for verifying the information and performing the actual background
investigation. The level of investigation depends upon the level
of access to be granted.
For CONFIDENTIAL
and SECRET clearances:
A National Agency
Check (NAC)-A computerized search of investigative files and other
records held by federal agencies such as the Federal Bureau of Investigations
(FBI) and Office of Personnel Management (OPM).
A Local Agency Check (LAC)-A review of appropriate criminal history
records held by local law enforcement agencies, such as police departments
or sheriffs, with jurisdiction over the areas where you have resided,
gone to school, or worked.
Financial checks - A review of your Credit Record.
For TOP SECRET clearances:
A Single
Scope Background Investigation (SSBI) is performed which includes
all of the above, plus:
Field interviews
of references to include coworkers, employers, personal friends,
educators, neighbors and other appropriate individuals.
Checks of records held by employers, courts and rental offices.
A subject interview - An interview with you by an investigator.
These inquiries are performed by one or more investigators who work
in the geographic area where the information is to be obtained.
NACs, however, may be performed electronically from a central location.
The DSS uses
two types of investigators to conduct these investigations; DSS
Agents and Contractors. DSS obtains investigative support through
Contractors, such as MSM Security Services Corp, Omniplex World
Services Inc., Management Technology Corp (ManTech), Dyncorp (Information
& Enterprise Technology Division) and Government Business Services
Group (GBSG).
When conducting
field interviews, the investigators normally begin with individuals
you list as references in the questionnaire. They then use those
references to develop names of additional references, etc., ad infidium.
These references will be asked questions about your honesty, reliability
and trustworthiness and their opinion on whether you should be given
access to classified information or assigned to a sensitive position
or position of trust. Your references will also be asked questions
about your past and present activities, employment history, education,
family background, neighborhood activities and finances. During
the investigation the investigator(s) will try to determine if you
have had any involvement with drugs, encounters with the police,
or problem drinking habits and other facts about your personal history.
The investigator(s) will attempt to obtain both favorable and unfavorable
information about your background so an adjudicator can make an
appropriate determination.
The objective
of the subject interview is to obtain a complete picture of you
as an individual so that an adjudicator can determine whether you
will be able to cope with having access to classified or sensitive
information without becoming a security risk. Therefore, the interview
will be wide-ranging and cover most aspects of your life. During
the subject interview, expect to be questioned about your family
background, past experiences, health, use of alcohol or drugs, financial
affairs, foreign travel and other pertinent matters.
What determines
approval or disapproval?
It's important
to note that Defense Security Service (DSS) does not make any security
clearance determinations or recommendations. DSS simply gathers
information. Once the information has been verified, and the investigations
completed, DSS presents the information to the specific military
service's adjudicator authority (each military service has their
own), who determine whether or not to grant the security clearance,
using standards set by that particular military service.
It's impossible
to say if any particular thing will result in denial of a security
clearance. The adjudicators use the Adjudicator Guidelines to determine
whether or not the individual can be trusted with our nation's secrets.
Primarily, adjudicators look for honesty, trustworthiness, character,
loyalty, financial responsibility and reliability. On cases that
contain significant derogatory information warranting additional
action, the adjudicator may draft a request for additional investigation/information,
or request psychiatric or alcohol and drug evaluation. Even so,
adjudicators are not the final authority. All denials of clearances
must be personally reviewed by a branch chief, or higher.
Because of a
recent change in the law, there are some factors which will positively
result in the denial of a clearance. As a result of the Smith Amendment,
the FY01 Defense Authorization Act amended Chapter 49 of Title 10,
United States Code, and precluded the initial granting or renewal
of a security clearance by (DoD) under the following four specific
circumstances:
(1) An individual
has been convicted in any court of the U.S. of a crime and sentenced
to imprisonment for a term exceeding one year.
(2) An individual is (currently) an unlawful user of, or is addicted
to, a controlled substance (as defined in section 102 or the Controlled
Substances Act (21U.S.C. 802))
(3) An individual is mentally incompetent, as determined by a mental
health professional approved by the DoD
(4) An individual has been discharged or dismissed from the armed
forces under dishonorable conditions.
The statute also provides that the Secretary of Defense and the
secretary of the military department concerned may authorize an
exception to the provisions concerning convictions, dismissals and
discharges from the armed force in meritorious cases.
How long does
the process take?
It depends on
several factors, and the type of investigation. In the past three
years, DoD has had a significant backlog of security clearances
and reinvestigations pending, most especially for TOP SECRET level
access. In general, expect a CONFIDENTIAL or SECRET clearance to
take between 1 and 3 months. A TOP SECRET will probably take between
4 and 8 months. However, some individuals have been waiting for
the results of their TOP SECRET investigation for more than one
year. In general, the more there is to investigate, the longer the
investigation will take. Expect the investigation to take longer
if you have:
Lived or worked
in several geographic locations or overseas.
Traveled outside of the United States.
Relatives who have lived outside of the United States.
Background information that is difficult to obtain or involves issues
that require an expansion of your case.
If your technical training (AIT/Tech School/A-School) requires access
to classified information, you may be assigned to do details (such
as answering the phone in an office) while waiting for your Security
Clearance to be granted. In some cases, you may be authorized to
attend non-classified portions of the training while awaiting the
results of your security clearance application.
Can I
appeal a clearance denial or revocation?
If you are denied
a security clearance, or an assignment to a sensitive position or
a position of trust, or your current clearance or access is revoked,
you have the right to appeal the adjudicative decision. Under such
circumstances you will be provided a statement on the reason(s)
why you are ineligible for the clearance and the procedures for
filing an appeal. If you believe the information gathered about
you during the investigation is misleading or inaccurate, you will
be given the opportunity to correct or clarify the situation.
DoD maintains
a web site which gives a good overview about past Security Clearance
Appeal Decisions for DoD contractor personnel.
Are polygraph
(lie detector) tests required?
The use of the
polygraph for any Department of Defense program is governed by DoD
Directive 5210.48 and DoD
Regulation 5320.48R.
A polygraph
examination is mandatory for employment by or assignment to the
DSS and the National Security Agency (NSA) and for assignment (or
loan) of DoD personnel to the Central Intelligence Agency (CIA ).
It is also mandatory for some SCI and SAP access programs.
Additionally,
the polygraph may be used for any other personnel security investigations
to resolve serious credible derogatory information and then only
with consent. No adverse action may be taken solely on the basis
of a polygraph examination that indicates deception, except upon
the written finding by the Secretary or Under Secretary of Defense,
or a Secretary of one of the military departments, that the classified
information in question is of such extreme sensitivity that access
under the circumstances poses an unacceptable risk to the national
security.
Polygraph examinations
may also be used to supplement investigations of federal felonies,
of unauthorized disclosure of classified information or of alleged
acts of terrorism, or when requested by the subject of a personnel
security investigation, for exculpation with respect to allegations
arising in the investigation.
The DoD regulation
details the exact manner in which the examination must be conducted.
No relevant question may be asked during the polygraph examination
that has not been reviewed with the person to be examined before
the examination, and all questions must have a special relevance
to the inquiry. Certain "validating" questions may be
asked without prior disclosure to establish a baseline from which
the examiners can judge the validity of the answers to the relevant
questions. The probing of a person's thoughts or beliefs, or questions
on subjects that are not directly relevant to the investigation,
such as religious or political beliefs or beliefs and opinions about
racial matters, are prohibited.
The Defense
Industry
National security
ultimately depends on protecting science and industry, so lots of
security clearances are involved with companies working on defense-related
projects. It doesn't matter if the company is holding a government
contract or not; any R&D venture needs to be protected. The
frequency of companies holding regular government contracts is growing,
however. Here's a top ten list:
Primary
Defense Contractors:
Boeing
General Dynamics
General Electric
General Motors
Grumman
Lockheed
Martin Marietta
McDonnel Douglas
Raytheon
United Technologies
Expect to
see the highest security countermeasures in the above companies.
However, there are numerous other companies involved in activities
that may need to be protected. The following is a list of the
eighteen (18) technology areas of the U.S. that have been the
most common targets of espionage:
Militarily
Critical Technology List (MCTL):
Aeronautics
Systems
Armaments and Energetic Materials
Chemical and Biological Systems
Directed and Kinetic Energy Systems
Electronics
Ground Systems
Guidance, Navigation, and Vehicle Control
Information Systems
Information Warfare
Manufacturing and Fabrication
Marine Systems
Materials
Nuclear Systems
Power Systems
Sensors and Lasers
Signature Control
Space Systems
Weapons Effects and Countermeasures
Security
Classification and Code Words
The Intelligence
Community operates on the basis of CODE WORDS for just about everything.
There is a technical distinction between a code word and a nickname.
A code word is usually a single, five-letter word selected from a
list contained in a document known as JANAP 299 (Joint Army, Navy,
Air Force Publication). A code word always is assigned a classified
meaning. A nickname usually consists of two words and is assigned
an unclassified meaning.
TOP SECRET UMBRA,
for example, indicates that information about the operation with the
code word "umbra" is top secret. Employees may have a nickname
for this operation like "spoke wheel" which implies that
it's got something to do with transportation, and may or may not remind
the employee of the cover story; in this case, the possible use of
bicycle tires for something. Often, the nickname implies something
the exact opposite of the real operation: SKYBORNE for an underseas
operation, e.g., or WATERLOG for an space operation.
Sometimes, four-letter
code words are used, like GYRO, for instance. Whenever you see a four
letter code word, this usually means that the information it refers
to was obtained from intercepted communications by top officials from
foreign countries. Other four-letter code words refer to mail openings
and information obtained from foreign books.
Classified documents
are often labeled with all the associated code words; like TOP SECRET
UMBRA GAMMA GYRO SKYBORNE WATERLOG. Each word may have a different
security classification requirement. In this case, the employee would
have to have the security clearance for each level. A clearance for
GAMMA might not suffice for WATERLOG. This has resulted in the commonly-seen
whiteout or blackout through certain sentences in reports, because
the most classified material has been made unreadable.
See Defense
Security Service (DSS), US
Army and Department
of Defense (DoD) websites.
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