Directives and regulations specifically pertaining to issues involving Sensitive Compartmented Information (SCI):

• Navy Department Supplement (NAVSUPP) of March 1997, which is a supplement to the Department of Defense Sensitive Compartmented Information Administrative Security Manual (DoD S-5105.21.M-1 superceded by DoD 5105.21-M-1 of August 1998). The NAVSUP prescribes uniform DoN administrative policy and procedures for the security, use, and dissemination of SCI. Also refer to the SSO Navy homepage for BANIF messages that provide policy updates/changes.
• Director of Central Intelligence Directive (DCID) 6/4 of July 1998 which contains personnel security standards and procedures governing eligibility for access to SCI for all military, civilian, and contractor personnel.

The SECNAV M-5510.30 is the basic Department of Navy (DoN) manual governing the Personnel Security Program (PSP) and implements Executive Order (EO) 12968, “Access to Classified Information”. SECNAV M-5510.30 establishes specific policy set forth in SECNAVINST 5510.30B, “Department of Navy (DoN) Personnel Security Program (PSP) Instruction.

SECNAV M-5510.30 is augmented by naval messages, OPNAV notices, CNO memorandums, and guidance. For policy updates and changes, visit the Chief of Naval Operations (N09N2) Information and Personnel Security web site.

Commands should utilize and become familiar with the SECNAV M-5510.30 as it provides guidance in all areas of the personnel security arena. It is strongly recommended you refer to this instruction for any guidance you may need on the following topics:

• Basic Program Policy and Authorities
• Command Security Program Management
• Counterintelligence Matters
• Security Education
• National Security Positions
• Personnel Security Investigations
• Personnel Security Determinations (to include due process)
• Clearances
• Access to Classified Information
• Continuous Evaluation Program (CEP)
• Visitor Access to Classified Information

Requesting a security clearance - If JPAS shows no record of prior investigation or no appropriate level investigation, the security manager/SSO will need to submit a request for investigation in accordance with the procedures outlined in SECNAV M-5510.30 Chapter 6 and CNO ltr 5520 Ser 09N2/6U871082 of 2 August 2006, or visit the Chief of Naval Operations (N09N2) Information and Personnel Security web site for the latest submission of policy and procedures. Ensure that the request for investigation clearly indicates return results are to be forwarded to the DoN CAF. Once the PSI is completed and received, the DoN CAF's determination will be entered into JPAS, granting the highest level of eligibility supported by the investigation.

Missing security clearance - If it is found that a prior investigation exists but no record exists in JPAS indicating that the investigation was favorably adjudicated, submit a request via JPAS to the DoN CAF.

Our adjudicators have production standards to meet with definitive standards for case processing times. Unless formally designated as a priority, the goal is for our adjudicators to work each case within 30 days from the time the case is assigned to them. For example, you provide an incident report or SAER via JPAS. Initially your requests will go through our Adjudicative Support Branch (ASB) for case control and case management. The ASB will order all existing files associated with the person you have reported. When the file(s) arrive (generally within 30 to 45 days), ASB will then assign the case to an adjudicator for decision. The adjudicator must either make an affirmative decision (notifying you via JPAS), request additional information (via JPAS or Naval correspondence), or refer the case to a due process team within 30 days of case assignment.

Adverse information can come from many sources; it's not limited exclusively to OPM investigations. On occasion, adjudicators cannot make a sound adjudicative decision based on the information in their possession. When this happens, adjudicators must solicit more information from either the subject of the investigation, the command, or a medical professional. In some instances, it's necessary to reopen an investigation through OPM. Once the additional information is requested, a suspense file is created.

Suspense files are cases awaiting: information (e.g. responses to LOIs, financial statements, medical evaluations, etc.) we have requested from commands, receipt of files we ordered from the repositories (such as investigations from NCIS, CID, OSI, DSS, OPM, etc.) for review in conjunctions with newly received derogatory information. If the information is not received in a timely manner (60-90 days), a tracer is forwarded to the command or a second request for files is made. If the command fails to respond to the tracer, a non-response letter is then forwarded to the command. Once the non-response letter has been forwarded, the command has 30 days to respond. If the command does not respond within 30 days, we will close the case and indicate that no clearance was granted due to non-response. If additional investigation is required, we will request OPM to conduct the investigation and notify the command. The command may keep track of when an additional investigation has opened and closed through JCAVS/JPAS.

Commands/Activities should ensure the prerequisites as outlined in CNO 5510 Ser 09N2/7U223012 of 26 January 2007 are completed when issuing temporary access.

The following are procedures for requesting interim access to SCI in accordance with DCID 6/4:

Utilize JPAS to request interim SCI access. A request for interim SCI should be submitted only when there is an emergency or urgent operational requirement that necessitates indoctrination prior to the completion of the required investigation and the individual meets DCID 6/4 standards.

When submitting a priority request for interim SCI access, you must clearly identify that is a priority non-routine requirement with a detailed justification for priority handling. You must include the results of the review of forms, or pre-screening interview (include all potentially disqualifying information); advise if there are any foreign born immediate family members, or immediate family members who claim a dual nationality. Refer to BANIF 034-05 for this requirement.

Include a “not later than” (NLT) date if SCI access is required by a specific date. Be realistic in your request. Commands should not conduct tracer follow-up via telephone unless your NLT date is within three days or 180 days has passed from your initial request date. JPAS will reflect whether your request was approved or disapproved. If additional information is needed, we will provide you with instructions.

The exception request package must contain the following, unless otherwise specified (the exception package will be sent to the DoN CAF:

• Compelling Need Statement (for applicants only/individuals who are not currently indoctrinated for SCI access) – The Compelling Need statement specifically describes the unique skills possessed by the individual or other special considerations or circumstances (e.g., the skill pool available is very limited; the mission to be performed is of extraordinary importance and the individual's services are a must) to support the compelling need for the applicant and the exception to DCID 6/4 standards. Disruption of an important operation also is relevant.

• Intelligence Risk Assessment (not required if foreign national is citizen of the United Kingdom, Canada, Australia, or New Zealand) – The intelligence risk assessment is an assessment of the intelligence impact of the foreign association and must be provided by the sponsoring command. The command must consider the threat to national security if SCI access is approved. (Command should provide a statement that the threat assessment has been reviewed and considered, rather than repeat the information contained in the assessment).

• Security Risk Assessment – overall risk assessment includes any investigative information on the foreign national spouse, prospective spouse, or cohabitant residing in the United States.

• Foreign Contact Interview - provides information about the nature of the foreign national association, family member contact, family member's association with foreign governments, etc.

• Signed letter and acknowledgement by the subject - The signed acknowledgement form reinforces to the subject that marriage to a foreign national may affect their ability to obtain and maintain access to SCI. This form will be signed by the subject and witnessed by the SSO.

• A spouse National Agency Check (NAC) or cohabitee NAC is required. If a spouse or cohabitee NAC was not conducted during the course of the investigation, a request will be sent to OPM, using the OFI-86C form. (To determine if a spouse NAC/cohabitee NAC is required, review the subject’s SF-86 to see if the spouse/cohabitee was listed. If not, a spouse/cohabitee NAC is required, or the DoN CAF may request that the command submit a spouse NAC request to OPM).

• A current up-to-date SF-86 for the subject.

• The Foreign Born Spouse – Statement of Personal History (FBS-SPH). The FBS-SPH must be completed from the 16th birthday to present.

• A signed memorandum from the subject identifying where, when, and how he met his spouse/prospective spouse. The memorandum should also identify which of the foreign national’s family members have been met and under what circumstances.

• Foreign Contact Interview – A foreign contact interview should be completed by the subject for each family member or for individuals who maintain a close and continuing relationship with a foreign national. (A FCI is not required for the spouse/prospective spouse of the subject).

EXCEPTION PACKAGE DOCUMENTS

• Personnel Security Infogram (BANIF 020-03)
• Intelligence Risk Assessment (Sample)
• Subject Foreign Contact Information and Sample
• Foreign Born Spouse Statement of Personal History
• Subject Acknowledgement
• Special Agreement Check (Request for Spouse of Cohabitant NAC)
• Foreign Contact Interview questions

Note: SCI interim approval may be granted prior to completion of the investigation provided the above requirements are met, and the risk assessment is favorable.

JPAS will reflect our decision.

There may be instances when additional information is requested. In those case, specific instructions will be provided.

Commitment to the Continuous Evaluation Program (CEP) requires commands to use JPAS to report questionable or unfavorable information that may be relevant to a security determination. According to SECNAV M-5510.30 Chapter 10, individuals must report to their supervisor or appropriate security official and seek assistance for any incident or situation which could affect their continued eligibility for access to classified information. Co-workers have an obligation to advise their supervisor or appropriate security official when they become aware of information with potential security clearance significance. Supervisors and managers play a critical role in assuring the success of the CEP. The goal is early detection of an individual's problems. Supervisors are in a unique position to recognize problems early and must react appropriately to ensure balance is maintained regarding the individual's needs and national security requirements.

Reports submitted through JPAS must be complete and provide all the facts pertaining to the incident(s). If there is an occasion in which all the facts are unavailable, commands should briefly cite the incident and advise a complete report with supporting documentation will be mailed to the DoN CAF. This will ensure a more timely adjudication and eliminate the need for the adjudicator to hold the case in suspense while requesting additional information. Special Security Officers (SSOs) must submit a Security Access Eligibility Report (SAER), with amplifying information, and a command endorsement for continued SCI eligibility/access.

DoN CAF has identified one of their teams, Special Programs, to handle all special project cases. These are cases identified by DoD and DoN as requiring expeditious handling. Projects include: Presidential Support, North Atlantic Treaty Organization (NATO), and various Special Access Programs.

Special Programs is also responsible for providing clearances on students to all Navy and Marine Corps schools and for all Navy or Marine Corps members attending joint schools or those of other services. Schools may submit their requests for clearance via a memorandum. This memorandum must contain, at a minimum: Command name, Command UIC, Command POC with both DSN and commercial telephone numbers, level of clearance or access required, and the full name and SSN of all students. An e-mail address is not required but may be included. It is helpful if the list is in alphabetical order and numbered. A minimum of four weeks should be allowed for response to a school's list. Lists may be faxed or mailed. Due to the volume, we cannot confirm receipt of faxed lists. School and training commands are strongly encouraged to obtain access to JPAS which will enable them to grant access to students with established eligibility without making a request to DoN CAF.

When an individual receives orders to a NATO site, the detailer contacts PERS 832 who determines whether or not the individual meets the security clearance requirements for the assignment.

NATO assignments require the individual to have a current investigation (one completed in the last five years for Top Secret or SCI, ten years for Secret). If PERS 832 determines the individual does not have a current investigation, they send a message to the individual's current command directing the command to submit the required investigation in a timely manner.

PERS 832 monitors the submission of this request and facilitates expedited opening of the request in concert with the Navy's liaison office at OPM.

Orders to NATO assignments indicate the member may not be transferred nor household goods shipped until the security clearance requirement for the assignment is met. Therefore, it is important that the command request the necessary investigation for individuals going to a NATO assignment immediately upon notification from PERS 832. Failure to do so may result in modification of orders delaying the transfer.

Upon completion of the investigation, DoN CAF endeavors to adjudicate within ten (10) working days of receipt.

Questions in regard to NATO processing at the DoN CAF may be directed to the NATO POC at 202-433-9047 (e-mail: nadine.wigglesworth@navy.mil) or to the supervisor of the Special Programs team at 202-433-8885 (e-mail: regina.bates@navy.mil).

When a Letter of Intent (LOI) to revoke or deny a clearance is issued to a person, part of that letter is a statement of reasons that specifies which adjudicative criteria is involved and what actions or behaviors by the individual resulted in the intended action. The letter also provides detailed instructions to the individual to aid in the preparation of his/her rebuttal to our letter, and to provide guidance on determination, that ends the appeals process. the appeal process. There is a separate letter to the command with similar information.

If the rebuttal to the LOI does not sufficiently mitigate the issues and the DoN CAF issues a formal denial or revocation of clearance, there is one more level of appeal - the Personnel Security Appeals Board (PSAB), which is external to the DoN CAF. The appeal may be in writing or can be in the form of an appearance before an Administrative Judge from the Defense Office of Hearings and Appeals (DOHA). The judge may ask questions to clarify the issues, and the individual may make statements and present evidence. The DOHA makes a transcript of the hearing and the judge's recommendation, which are forwarded to the PSAB for final determination. Details on how to appeal to the PSAB are contained in the letter of denial or revocation to the individual and to the command. The PSAB determination ends the appeals process.

The detailed reference for the appeals process is contained in SECNAV M-5510.30 Section 8.5 .

.