How To Get A Security Clearance Without A Sponsor

Security Clearance FAQs

Security Clearances for Individuals

What is a security clearance?

A national security clearance is a determination made by agencies of the United States Government that a person is eligible for access to classified national security information up to a certain level. Although the term "security clearance" is still widely used (even by Government security specialists); it has been replaced in official documents by the term "eligibility" for access. An applicant cannot be granted eligibility for access to classified information unless a determination has been made that it is clearly consistent with the interests of the national security based on a favorable adjudication of an appropriate investigation of their background. The eligibility standards for access to classified information are contained in the National Security Adjudicative Guidelines (NSAG).

What are the levels of classified information and security clearance?

There are three levels of levels of classified national security information—Confidential, Secret, and Top Secret. Each level is determined by the amount of damage that would be caused to the security of the United States if that information were disclosed to anyone not authorized to receive it.

TOP SECRET information is information which, if disclosed without authorization, could reasonably be expected to cause exceptionally grave damage to the national security.
SECRET information is information which, if disclosed without authorization, could reasonably be expected to cause serious damage to the national security.
CONFIDENTIAL information is information which, if disclosed without authorization, could reasonably be expected to cause damage to the national security.

Almost all agencies issue security clearances at these same three levels—Confidential, Secret, and Top Secret. The Department of Energy (DOE) has two levels of security clearances—"L" access authorizations and "Q" access authorizations. DOE has the same three levels of classified material, but some of their classified material is further designated "Restricted Data" (RD) or "Formerly Restricted Data" (FRD). An "L" access authorization is required access to Confidential or Secret national security information and to Confidential and Secret FRD. A "Q" access authorization is required to access to Top Secret national security information and to Secret and Top Secret RD. RD is a Special Access Program (SAP) that covers "all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy," except for data that has been declassified or removed from the Restricted Data category.

What is a Special Access Program (SAP)?

A SAP is a program established for a specific class of classified information that imposes safeguarding and access requirements that exceed those normally required for information at the same classification level. A SAP is established only when the program is required by statute or upon the specific finding that the vulnerability of, or threat to, specific information is exceptional; and the normal criteria for determining access to information classified at the same level are not sufficient. The purpose of establishing a SAP is to:

1. enforce formal need-to-know,
2. keep access to a minimum,
3. enhance other security measures as needed, and
4. identify who has had access.

SAPs are categorized as Intelligence, Acquisition, and Operations/Support. Intelligence SAPs are also known as Controlled Access Programs (CAP) and Sensitive Compartmented Information (SCI).

How do I get access to Sensitive Compartmented Information (SCI) or other Special Access Program (SAP) information?

In order to be granted access to SCI or other SAP information, a person must be sponsored for access to the SAP and approved by a Government agency holding the information. There may be vetting requirements in addition to a Tier 5 investigation, such as a polygraph examination.

What is a collateral security clearance?

A collateral security clearance is a clearance that does not include access to information protected within a Special Access Program (SAP), like Sensitive Compartment Information (SCI) or Restricted Data (RD).

What is a sensitive national security position?

Positions in which the occupant could bring about a material adverse effect on the national security are sensitive positions. All federal positions must be designed as non-sensitive, non-critical sensitive, critical sensitive, or special sensitive. Not all sensitive positions require access to classified information; however, all positions that require access to classified information are sensitive. Positions that require access to Confidential or Secret information are non-critical sensitive; positions that require access to Top Secret information are critical sensitive; and positions that require access to Sensitive Compartment Information (SCI) or other Special Access Programs (SAPs) are special sensitive. It is the sensitivity level of a position that determines what type of investigation is required. The National Security Adjudicative Guidelines (NSAG) apply equally to security clearances and sensitive positions. Some DoD agencies refer to sensitive positions that don't require access to classified information as positions of trust. Positions of trust should not be confused with Public Trust positions.

What are Public Trust positions?

Although often referred to as a clearance; eligibility for a Public Trust position is not security clearance. In addition to sensitivity designations, all federal positions are ranked as low risk, moderate risk, and high risk. Only positions ranked as moderate risk and high risk are considered Public Trust positions. Requirements for these positions are governed by Title 5 Code of Federal Regulations, Part 731 and the Federal Investigative Standards.

What types of investigations are required for obtaining a security clearance or eligibility to hold a sensitive position?

A Tier 3 investigation is required for a Confidential or Secret clearance, for a Department of Energy (DOE) "L" access authorization, or to hold a non-critical sensitive position. In October 2015 the Tier 3 investigation replaced the NACLC (National Agency with Law and Credit) and the ANACI (Access National Agency Check with Inquiries) investigations that were previously used for these clearances and positions. The Tier 3 investigation relies almost entirely on "Automated Record Checks" (ARC) and Letter Inquiries.

A Tier 5 investigation is required for a Top Secret clearance, for DOE "Q" access authorization, or to hold a critical sensitive position. It is also required for all levels of access to Sensitive Compartmented Information (SCI) and some other Special Access Program (SAP) information. In October 2016 the Tier 5 investigation replaced the SSBI (Single Scope Background Investigation). The Tier 5 investigation uses ARC but also uses interviews and record checks conducted by field investigators, including an Enhanced Subject Interview (ESI) of the clearance applicant.

When a potentially disqualifying issue is present or surfaces during a Tier 3 or Tier 5 investigation, an Expandable Focused Investigation (EFI) is initiated to develop all relevant information needed to properly evaluate the issue.

Tier 1, 2, and 4 investigations are required for determining eligibility for basic federal employment suitability/fitness, Homeland Security Presidential Directive 12 credentialing, and Public Trust positions. There are five tiers of federal personnel security investigations (PSIs), but the Government is currently considering reducing the number of tiers to three.

What types of reinvestigations are required for maintaining a security clearance or eligibility to hold a sensitive position?

In order to maintain a security clearance or eligibility to hold a sensitive position, people are subject to Periodic Reinvestigations (PRs); however PRs for some cleared personnel are being replaced by "Continuous Evaluation" (CE). A PR is an investigation conducted to update a previously completed background investigation on a person occupying a position requiring access to classified information or occupying a sensitive position, to determine whether that individual continues to meet the requirements for the position. Previously, PRs occurred at 5, 10, or 15 year intervals, depending on clearance level. Since December 2012 there has been a requirement that all PRs be conducted at five year intervals, but this requirement has not been fully implemented, initially because of lack of funding and later because of the investigative backlog that began in 2015 and continued until early 2020.

Normally a Tier 3R investigation is required for people who hold Confidential clearances, Secret clearances, DOE "L" access authorizations, and who occupy non-critical sensitive positions. When a person due for a PR, they are required to submit a new "Questionnaire for National Security Positions" (Standard Form 86—SF86). If no new potentially disqualifying condition is listed on their form, they may be enrolled in CE and a traditional PR will not be conducted.

Tier 5R investigations are required for people who have Top Secret clearances, DOE "Q" access authorizations, SCI access, some other SAP access, and who occupy a critical sensitive or special sensitive position. Personnel subject to Tier 5R investigations may also be reevaluated on a random or continuous basis between investigative cycles or when event driven. The five-year periodicity for Tier 5R investigations has been extended temporarily to six years in the past due to investigative backlog.

What is Continuous Evaluation?

Under Security Executive Agent Directive 6 (SEAD 6) Continuous Evaluation (CE) is a "A personnel security investigative process to review the background of a covered individual who has been determined to be eligible for access to classified information or to hold a sensitive position at any time during the period of eligibility. CE leverages a set of automated records checks and business rules, to assist in the ongoing assessment of an individual's continued eligibility. It supplements- but does not replace-the established personnel security program for scheduled periodic reinvestigations of individuals for continuing eligibility." These reviews are conducted using automated records checks of various Government and commercial databases and other information lawfully available to security officials.

Who decides whether to grant a security clearance?

Security clearances are granted by trained personnel security specialists (adjudicators) employed by federal agencies. Adjudicators review the results of Tier 3 and Tier 5 Personnel Security Investigations (PSIs) and evaluate the information against the criteria in the "National Security Adjudicative Guidelines" (NSAG). The NSAG is contained in Security Executive Agent Directive 4, issued by the Director of National Intelligence (DNI). In the case of most clearance applicants employed by defense contractors, staff adjudicators at the DoD Consolidated Adjudications Facility (CAF) will grant their security clearances. If a staff adjudicator at DoD CAF is unable to grant a security clearance for a defense contractor employee because of unmitigated potentially disqualifying information, the case will be referred to the Defense Office of Hearings and Appeals (DOHA) for a decision by an Administrative Judge. There are contractor personnel working at some adjudicative facilities. They assist Government adjudicators by reviewing PSIs and making written recommendations, but only a Government employee can make a security clearance determination.

Who may have access to classified information?

Only those persons who have a bona fide need to know and who possess a personnel security clearance at the same or higher level than the classified information may have access to that information.

Can an individual who has been granted a security clearance be authorized access to any and all classified information?

No. The individual must have both the appropriate level of security clearance and a need to know the classified information.

Do contractors have the authority to grant, deny, revoke or suspend personnel security clearances for their employees?

No. Cleared federal contractors can sponsor their employees for security clearances, but the final determination regarding clearance eligibility rests with the federal Government. If unfavorable information about a cleared contractor employee becomes known to the employer's Facility Security Officer (FSO), the FSO has a responsibility to report the information to the Government and has the authority to suspend that person's access to classified information. Suspension of access is not the same as clearance suspension, which only the Government can do. Once access has been suspended by an FSO, only the Government has the authority to reinstate access.

What is an interim security clearance?

An interim or temporary security clearance is a clearance that can be issued before a PSI is completed and a final clearance is granted. An interim or temporary clearance is based on some limited checks, a review of the clearance application form, and the initiation of the appropriate PSI. An interim clearance can be granted at the Secret or Top Secret levels. Usually an interim clearance determination can be made in a week or two. A person with a final Secret clearance can usually be granted an interim Top Secret clearance as soon as a Tier 5 investigation is initiated. Security Executive Agent Directive 8 governs the issuance of interim and temporary security clearance.

An interim security clearance allows a person to have access to classified information at the level of the interim clearance, while his or her final clearance is being processed. All DoD applicants for collateral security clearances are considered for interim clearance eligibility. For interim or temporary access to classified information within a Special Access Program (SAP) special authorization is required. Interim clearances can be withheld or withdrawn after they are granted. The withholding or withdrawal of an interim clearance does not mean that a final will not be issued, and it is not considered a clearance denial. It means there is potentially disqualifying information that must fully investigated before a clearance eligibility determination can be made.

What do the terms "active", "current" and "expired" security clearance mean?

An "active" security clearance is one in which the individual is eligible for access to classified information. A "current" security clearance is one in which the individual's eligibility for access to classified information was terminated, but can be reinstated (recertified) without a new investigation, provided no new potentially disqualifying conditions exist. A security clearance remains "current" for two years after it is terminated as long as the underlying PSI is not out-of-date. Previously PSIs went out-of-date after 5, 10, or 15 years depending on the level of clearance. Now all PSIs go out-of-date after five years, but a clearance can be reinstated up to seven years if a new investigation is concurrently initiated. If there is either a two year break in access to classified information or the last PSI is more than seven years old, an individual's clearance becomes "expired." Both "active" and "current" security clearances are relatively easy to transfer between employers within an agency like the Department of Defense (DoD). Reciprocal acceptance of an "active" or "current" clearance by one agency (e.g. DoD) that was granted by other agency (e.g. DHS) can sometimes be problematic. When a person with an "expired" clearance is sponsored for a security clearance, he/she will be processed in the same manner as someone applying for the first time.

Who issues the Security Clearance?

There are dozens of Government agencies that issue security clearances. DoD civilians, contractors and military personnel account for about 88 percent of all security clearances. Almost all DoD clearances are issued by the DoD Consolidated Adjudications Facility (CAF). A very small percentage of DoD clearances are issued by the three-lettered DoD intelligence agencies (DIA, NGA, NRO and NSA), which have their own adjudicative offices collocated with DoD CAF at Fort Meade, MD. In 2020 DoD CAF became part of the Defense Counterintelligence and Security Agency (DCSA) and is sometimes called DCSA CAF.

The Department of Homeland Security (DHS) issues the next largest number of clearances. DHS including its component agencies accounts for about four percent of all clearances. The Department of Energy (DoE) issues about one percent of all clearance. All other Executive Branch departments and agencies account for less than one percent each with most accounting for less than one-tenth of one percent. They include the departments of Justice, State, Transportation, Treasury, Health and Human Services, Interior, Commerce, and Veterans Affairs, as well as agencies such as CIA, USAID, BBG, Peace Corps, TVA, GAO, OPM, USITC, and USPS.

What are the steps for getting a Security Clearance?

For DoD cleared contractors the company identifies an employee or employment candidate (applicant) who needs access to classified information (e.g., the applicant will work on a classified contract). The company's Facility Security Officer (FSO) submits an investigation request through the Joint Personnel Adjudication System—JPAS (JPAS is being replaced by the Defense Information Systems for Security—DISS). The applicant receives instructions for completing a "Questionnaire for National Security Positions" (Standard Form 86—SF86) using a web-based computer program called e-QIP (electronic Questionnaire for Investigations Processing) or a newer program called eApplication. The applicant must also be fingerprinted. The applicant completes the SF86 and releases it to their FSO. The FSO reviews, approves and releases the SF86 to the Defense Counterintelligence and Security Agency (DCSA), Vetting Risk Operations Center (VROC) and submits the fingerprints to DCSA National Background Investigations Bureau (NBIB). VROC submits the SF86 to NBIB and makes an interim clearance determination. NBIB conducts an investigation and sends the results to DoD CAF (also known as DCSA CAF), which then grants a clearance or refers the case to DOHA. A slightly different process is used for federal employees, military personnel, and intelligence community applicants, but the basic steps of application, investigation, and adjudication are the same.

Can a naturalized citizen get a Personnel Security Clearance?

Yes. A naturalized citizen is treated the same as a native born US citizen.

Can a non-US citizen obtain a security clearance?

Only US citizens can obtain security clearances. In rare instances, non-citizens with unique, highly specialized skills and experience may be granted a "Limited Access Authorization" (LAA) that would allow them access to specific information at the Confidential and Secret levels.

What type of information is requested on a security clearance application?

The amount and detail of information required on a clearance application (SF86) is the same for all levels of security clearance. It includes personal identifying data; history of employment, residence and education; character references, marital and family information; foreign connections and travel; criminal, drug, and alcohol problems; financial delinquencies; and more. Some questions require information covering the past seven or ten years and some questions cover an applicant's entire life. Some positions may require an additional financial disclosure form and/or supplemental foreign national contact forms.

What is the "Whole-Person" concept?

The adjudicative process is an examination of a sufficient period and a careful weighing of a number of variables of an individual's life to make an affirmative determination that the individual is an acceptable security risk. This is known as the whole-person concept. All available, reliable information about the person, past and present, favorable and unfavorable, should be considered in reaching a national security eligibility determination.

Each case must be judged on its own merits and the final determination remains the responsibility of the authorized adjudicative agency. Any doubt concerning personnel being considered for national security eligibility will be resolved in favor of the national security.

The ultimate determination of whether the granting or continuing of national security eligibility is clearly consistent with the interests of national security must be an overall common sense judgment based upon careful consideration of the [adjudicative] guidelines, each of which is to be evaluated in the context of the whole person.[1]

What are the adjudicative guidelines?

Once an investigation is completed and returned to the appropriate adjudication facility, an adjudicator reviews the Report of Investigation and any previous investigations. All federal security clearance adjudicators use the 13 criteria listed in the National Security Adjudicative Guidelines for Determining Eligibility for Access to Classified Information or Eligibility to Hold a Sensitive Position. These criteria are:

(1) GUIDELINE A: Allegiance to the United States

(2) GUIDELINE B: Foreign Influence

(3) GUIDELINE C: Foreign Preference

(4) GUIDELINE D: Sexual Behavior

(5) GUIDELINE E: Personal Conduct

(6) GUIDELINE F: Financial Considerations

(7) GUIDELINE G: Alcohol Consumption

(8) GUIDELINE H: Drug Involvement and Substance Misuse

(9) GUIDELINE I: Psychological Conditions

(10) GUIDELINE J: Criminal Conduct

(11) GUIDELINE K: Handling Protected Information

(12) GUIDELINE L: Outside Activities

(13) GUIDELINE M: Use of Information Technology

In addition to the general security concern described for each criterion, adjudicators consider specific potentially disqualifying and potentially mitigating factors listed under each guideline, as well as:

(1) The nature, extent and seriousness of the conduct

(2) The circumstances surrounding the conduct, to include knowledgeable participation

(3) The frequency of the conduct

(4) How recently the conduct occurred

(5) The individual's age and maturity at the time of the conduct

(6) The voluntariness of participation

(7) The presence or absence of rehabilitation and other pertinent behavioral changes

(8) The motivation for the conduct

(9) The potential for pressure, coercion, exploitation, or duress; and

(10) The likelihood of continuation of the conduct

If the adjudicator needs more information than contained in the investigative file, applicants can be required to answer a request for information or written interrogatories. Adjudicators must also apply the Bond Amendment.

What is the Bond Amendment?

The Bond Amendment (Section 1072 of Public Law 110–181) prohibits Government agencies from granting or renewing a security clearance for a person who is an unlawful user of a controlled substance or an addict. It also restricts Government agencies from granting or renewing a security clearance for access to Special Access Programs, Restricted Data, or Sensitive Compartmented Information without an express written waiver when a person:

(A) has been convicted in any court of the United States of a crime, was sentenced to imprisonment for a term exceeding 1 year, and was incarcerated as a result of that sentence for not less than 1 year;

(B) has been discharged or dismissed from the Armed Forces under dishonorable conditions; or

(C) is mentally incompetent, as determined by an adjudicating authority, based on an evaluation by a duly qualified mental health professional employed by, or acceptable to and approved by, the United States Government and in accordance with the adjudicative guidelines.

What are the most common reasons for security clearance denial?

Since 2008 Financial Considerations, Guideline F of the National Security Adjudicative Guidelines, has been the most frequently cited issue in cases decided by the Defense Office of Hearings and Appeals (DOHA). It has appeared in about 50 percent of these cases. Guideline E, Personal Conduct, has consistently been number two, but most Guideline E cases involve false information on a clearance application form regarding some other issue, like alcohol, drugs, criminal conduct, or finances. Guideline B, Foreign Influence has consistently been number three. The next three most common issues are Drug Involvement, Criminal Conduct, and Alcohol Consumption, but they have change positions relative to each other from year to year.

What happens if the Government decides to deny or revoke a security clearance?

An individual whose security clearance is being denied or revoked by the Government has the right to rebut and appeal the decision. The process for doing this differs for people sponsored by Government agencies (civilian and military personnel) and people sponsored by cleared contractors. Executive Order 12968, "Access to Classified Information," prescribes the clearance process for everyone being considered for a national security clearance. Executive Order 10865, "Safeguarding Classified Information Within Industry," further prescribes the process for most federal contractors. The provisions of DoD Manual 5200.02 apply to DoD civilians and military personnel, Title 10 Code of Federal Regulations, Part 710, applies to DOE, and Intelligence Community Policy Guidance 704.3 (ICPG 704.3) applies to the Intelligence Community (IC). Many other federal agencies have their own written procedures for rebutting and appealing unfavorable clearance decisions, but they all conform to the Executive Order 12968.

For most contractor personnel, the denial/revocation and appeal process is the responsibility of the Defense Office of Hearings and Appeals (DOHA). When the Industry Division of DoD Consolidated Adjudications Facility (CAF) makes a preliminary decision to deny or revoke a clearance, they transfer the case to DOHA. Only a small percentage of cases are referred from DoD CAF to DOHA. If DOHA receives the case, they issue a Statement of Reasons (SOR) to the applicant, explaining why the Government intends to deny or revoke the clearance. The applicant then has an opportunity to respond to allegations in the SOR and have their case decided by an Administrative Judge (AJ). The applicant has a right to be represented by an attorney or personal representative. The applicant has 20 days to answer the SOR and offer evidence to refute, explain, or mitigate the allegations. If the applicant doesn't submit a timely answer to the SOR, their clearance is summarily denied or revoked with no further action. If the applicant answers the SOR, he/she has the option of requesting a hearing before a DOHA AJ or a decision based on the written record (without a hearing) by a DOHA AJ. With either option the applicant will have an opportunity to present additional arguments and evidence for why they should be granted a clearance.

After the DOHA AJ issues a written decision, either the applicant or the DOHA Department Counsel (the opposing attorney, who represents the Government) has the option of appealing the decision to a three-member DOHA Appeal Board. The Appeal Board will review the written arguments presented by the appellant and either affirm, reverse, or remand the DOHA AJ's decision.

An applicant whose security clearance has been finally denied or revoked may not reapply for a security clearance for one year from the date of the DOHA AJ's written decision. To reapply the individual must be sponsored by a cleared contractor for a security clearance. After submitting a new SF86, the individual will be required to submit written justification for the reapplication to the Director of DOHA, explaining what changes have occurred that would make it likely that the individual would be granted a clearance. If the Director of DOHA approves the reapplication, DoD CAF will request a new investigation and the individual will go through the entire clearance process.

The rebuttal and appeal process for clearance denials and revocations is somewhat different for federal civilian employees, military personnel, and those subject to ICPG 704.3. In all cases there is an opportunity to response in writing to an SOR (or other detailed written explanation of the basis for the denial or revocation) and request a review of the unfavorable decision. There is also an opportunity to present your case in person to a hearing officer or AJ at or after the review stage or to a three-member appeal board at the appeal stage.

Will my security clearance transfer to other federal agencies?

Transferring clearances within the Department of Defense (DoD) is generally not a problem. Almost everyone with a DoD clearance has a record in the Joint Personnel Adjudications Systems (JPAS) or its successor system, the Defense Information Systems for Security (DISS). JPAS can be used to verify active and current DoD clearances. It can also be used by contractor Facility Security Officers and government Security Managers to transfer ownership of a person's JPAS record from one organization (sponsor) to another organization (sponsor) or to recertify (reactivate) a "current" clearance (one that was terminated less than two years earlier). Temporary or interim clearances are not eligible for transfer, nor are clearances that were granted with an "exception," such as a waiver, deviation, or condition. Clearance transfers or "reciprocity" is governed by Security Executive Agent Directive 7 (SEAD 7).

There are two other online databases with personnel security clearance information that can be used to verify clearance data—the Central Verification System (CVS) and Scattered Castles (SC). Intelligence Community agencies record personnel security clearance data in SC and all other non-DoD agencies are supposed to feed clearance data into CVS. However, transferring clearances from agencies that don't use JPAS can be problematic, because the gaining Government agency must verify the clearance and enter it into the clearance database system they use. Sometimes the gaining Government agency must contact the losing Government agency and request the individual's clearance information, which takes more time.

A related problem can occur when a contractor employee or a former military serviceman whose Secret clearance is based on a NACLC (pre-2016) investigation wants to accept a job as a federal employee. The NACLC does not meet federal employment suitability investigation standards, so consequently another investigation must be conducted for employment suitability—not for security clearance. This is not a problem for people who had a Tier 3 investigation (October 2016 or later) for their Secret clearance.

If an individual had a security clearance or eligibility for a sensitive national security position in the past, can they now get a security clearance for another position?

Security clearances and eligibility for sensitive national security positions can be reactivated (recertified) by the same or different Government agency, if:

24 months have not elapsed since the clearance was terminated,
the underlying investigation is less than 5 years old, and
there is no new potentially disqualifying information since the last eligibility determination.

If the underlying investigation is between 5 and 7 years old, a new investigation must be initiated at the same time the clearance is recertified.

Where can I get assistance completing my security clearance package or inquire about the status of my security clearance?

DCSA has online help at their website for applicants completing a security clearance application. The applicant's company Facility Security Officer (FSO) should be able to help with problems not covered at the DCSA website and for information about status of a clearance request. Federal civilian and military applicants should contact their Security Manager. It is possible for an applicant to communicate directly with DCSA VROC by telephone or email, but DoD CAF will only communicate with FSOs and Security Managers. If an applicant anticipates problems or receives communication from an adjudication facility, it's probably wise to hire an attorney or security clearance consultant to help with the security clearance questionnaire, a request for information (written interrogatories), or a Statement of Reasons.

What are polygraph examinations?

A polygraph is an examination process that uses a diagnostic instrument capable of measuring and recording a subject's physiological reactions as the subject answers questions. Because physiological reactions can vary when subjects are telling the truth and when they are being deceptive, by comparing a subject's reactions to different questions a polygraph examiner can detect reactions that may indicate deceptive responses to specific questions.[2]

Although polygraphy has scientific components, it is not a science; it is a discipline dependent on the training, skill, and experience of the polygrapher. Physiological responses are scientific aspects of this discipline, and a properly calibrated instrument will register very accurate readings. However, the etiology of these reactions can be extremely complex. Thus, the polygraph is not a "lie detector." Test subjects may register measurable physiological responses for a variety of reasons. The most significant contribution of the polygraph is its success in eliciting information and its value as a deterrent; however, the polygraph should be but one of several investigative tools.[3]

Very few positions require Personnel Security Screening (PSS) polygraph examinations. For those positions that are designated as needing a PSS exam, the exams are conducted as part of the process of determining initial or continuing eligibility for access to Top Secret information, special access program (SAP), or other sensitive intelligence or operational information. The first two of the three types of exams listed below may be used as a component of a PSS polygraph program. The third type may be used as part of a security clearance investigation, when needed to resolve a specific issue:

Counterintelligence (CI) Scope Polygraph (CSP) examinations,

Expanded Scope Polygraph (ESP) examinations, and

Specific Issue Polygraph (SIP) examinations.

What are the differences between the types of polygraph examinations?

"Counterintelligence Scope Polygraph" (CSP): A polygraph examination that includes counterintelligence (CI) topics concerning involvement in espionage, sabotage, or terrorism; unauthorized disclosure or removal of classified information (including to the media); unauthorized or unreported foreign contacts; and deliberate damage to or malicious misuse of U.S. government information or defense systems."

"Expanded Scope Polygraph" (ESP): A polygraph examination that includes all CI topics of the CSP, as well as the topics of criminal conduct, drug involvement, and falsification of security questionnaires and forms. (The ESP examination has also been referred to as a Full Scope Polygraph [FSP] or an Expanded Scope Screening [ESS] examination in some organizations.)

'"Specific Issue Polygraph" (SIP): An examination conducted to address an individual issue of adjudicative concern such as espionage, sabotage, unauthorized disclosure of classified information, criminal conduct, etc. This examination may be used in conjunction with a CSP or ESP.[4]

A CSP is the most common type of PSS polygraph examination. DoD CSP exam questions cover:

(1) Involvement with a Foreign Intelligence and Security Service (FISS) and/or Spying or Espionage Activities Against the United States.

(2) Involvement in Terrorism Against the United States.

(3) Involvement in Sabotage Against the United States.

(4) Mishandling of Classified Information.

(5) Unauthorized Foreign Contacts.[5]

The ESP consists of a CSP exam plus what was known as a "Lifestyle" polygraph exam. The Lifestyle portion of the DoD ESP asks about:

(1) Falsification of security questionnaires and forms.

(2) Involvement in serious criminal conduct.

(3) Illegal drug involvement.[6]

What happens if I don't pass a polygraph examination?

The National Security Adjudicative Guidelines in Security Executive Agent Directive 4 specifically states, "No adverse action concerning these guidelines may be taken solely on the basis of polygraph examination technical calls in the absence of adjudicatively significant information."

DoD Instruction 5210.91, "Polygraph and Credibility Assessment (PCA) Procedures," states that when there is a failure to resolve a PSS polygraph examination issue, "the individual shall be given an opportunity to undergo additional examination. . . . [T]he Head of the relevant DoD Component may temporarily suspend an individual's access to controlled information and deny the individual assignment or detail that is contingent on such access, based upon a written finding that, considering the results of the examination and the extreme sensitivity of the classified information involved, access under the circumstances poses an unacceptable risk to the national security. Such temporary suspension of access may not form the part of any basis for an adverse administrative action or an adverse personnel action."

Basically a security clearance cannot be deny or revoke only because of an unfavorable polygraph test result. If the polygraph exam surfaces any indication of the existence of a potentially disqualifying condition for security clearance, there must be corroboration from some other source of information. This corroboration usually comes directly from statements made by the applicant during the pre-test or post-test phase of the PSS polygraph exam.

Can I obtain a security clearance on my own?

No, an individual cannot obtain a security clearance on their own. They must be sponsored for a security clearance by a federal agency or a cleared federal contractor.

How long does a security clearance take to process?

Security clearance processing times have gone up and down over the years. A major increase in processing times for federal agencies which received investigative services from the Office of Personnel Management (OPM) began in 2015 and did not begin declining until early 2019. By early 2020 processing times were back down to pre-2015 levels. In October 2019 responsibility for Personnel Security Investigations (PSIs) conducted by OPM transferred to the Defense Counterintelligence and Security Agency (DCSA). Average end-to-end processing time of Top Secret clearances at DCSA was 104 days in September 2020. Average end-to-end processing time of Confidential and Secret clearances at DCSA was 83 days in September 2020. These are averages for the fastest 90%—the range of completion times for the fastest 90% is very large and the cases in the 10% that are not included in the average can take a year or two. DCSA handles about 90% of all security clearance investigations and 95% of all PSIs for the federal government. Agencies that conduct their own security clearance investigations have different processing times.

If I am granted a security clearance, who will notify me?

When you are granted a security clearance, you will be notified by your Facility Security Officer (FSO) or your Government Security Manager. Before you are given access to classified information, your employer must give you a security briefing and have you sign a nondisclosure agreement.

What is the value of a security clearance?

In all areas of the country people with active security clearances are in high demand in many industries, occupations, and professional levels. Many companies offer higher starting salaries to people who have active clearances. Generally the higher the clearance level, the higher the starting salary compared to equivalent positions that don't require a clearance.

Many contractors say that a security clearance is needed to apply for their jobs. How can I get a security clearance in advance so I can apply for these jobs and can I pay for it myself?

Currently, people are not permitted to apply for a security clearance on their own, even if they are willing to pay for it themselves. They must be sponsored for a clearance by a federal agency or a cleared federal contractor. It is possible to be sponsored for a security clearance based on a written conditional offer of employment without actually being hired for a position that requires a clearance. Once the clearance is granted the sponsoring organization must hire and onboard the person within a prescribed period of time.

Can I see if I am qualified for a security clearance?

No. There is no way to obtain an official opinion regarding clearance eligibility or to pre-qualify for a security clearance. There are security clearance attorneys and consultants, who for a fee, can assess your probability of success in obtaining a clearance.

After a security clearance is granted, can it later be revoked?

Yes. There is a continuing evaluation requirement for all personnel holding security clearances or sensitive positions within the Government. This includes Periodic Reinvestigations required by the Federal Investigative Standards, reporting requirements under Security Executive Agent Directive (SEAD) 3 (SEAD 3), and automated "Continuous Evaluation" under SEAD 7. Each of these components informs the Government of potentially disqualifying information that could affect an individual's continuing eligibility for access to classified information or to hold a sensitive position. When potentially disqualifying information surfaces, Government adjudicators can initiate action to revoke previously granted national security eligibility. If such action is taken, the Government must afford the individual procedural due process in accordance with Executive Order 12986 and its various implementing directives.

What is e-QIP (Electronic Questionnaire for Investigations Processing)?

E-QIP is a web-based computer program that allows applicants to complete an online version of the investigative Standard Forms (SF85, SF85-P, and SF86). Each of the forms is used for different types of background investigations. E-QIP is being replaced by a new program called e-App for electronic Application. When applicants are sponsored for a security clearance by a Government agency or cleared contractor, they are given instructions on how to access e-QIP.

What is the JPAS (Joint Personnel Adjudication System)?

The Joint Personnel Adjudication System (JPAS) is the official personnel security investigation and clearance database management system for DoD. All National Industrial Security Program (NISP) cleared contractors use this system for all types of personnel security actions. JPAS is being gradually replaced by the Defense Information Systems for Security (DISS). This transition should be complete by spring or summer 2021.

Security Clearance Investigations

Who conducts security clearance background investigations?

The Department of Defense Counterintelligence and Security Agency (DCSA) conducts security clearance background investigations for DoD and dozens of other federal agencies. They also conduct background investigations for federal employment suitability and fitness determinations and for Homeland Security Presidential Directive – 12 credentialing. DCSA uses government and contract investigators to conduct background investigations. There are several federal agencies that have authority to conduct their own investigations. These are primarily intelligence and law enforcement agencies.

Doesn't the FBI conduct all Federal background investigations?

The FBI conducts less than one percent federal background investigations. They conduct background investigations on their own employees and applicants, as well as high level Presidential appointees; employee and contractors working for the Executive Office of the President; some congressional staffers; high level employees of the Department of Justice (DOJ) (including the Office of the Pardon Attorney and Assistant U.S. Attorneys); Administrative Office of the US Courts; designated positions in the Nuclear Regulatory Commission (NRC) and Department of Energy (DOE); Joint Terrorism Task Force (JTTF) detailees, other Joint Task Force (JTF) detailees, Law Enforcement Executives and Elected Officials (LEO Program); Foreign Intelligence Surveillance Act (FISA) personnel; Classified Information Procedures Act (CIPA) personnel; and miscellaneous other personnel categories. For most of these investigations the FBI uses a nationwide network of individual contract investigators who are directed by the FBI's Background Investigation Contract Services (BICS).

What is a PSI?

In the federal Government a Personnel Security Investigation (PSI) is a generic term for background investigations required to determine an applicant's eligibility for a Government personnel security program, such as:

National Security Clearance
Federal Employment Suitability/Fitness, and
Homeland Security Presidential Directive 12 credentialing.

Will investigators look at my social media accounts?

Yes. In May 2016 Security Executive Agent Directive 5 (SEAD 5) authorized "the collection and use of publicly available social media information during the conduct of personnel security background investigations and adjudications for determining initial or continued eligibility for access to classified national security information or eligibility to hold a sensitive position and the retention of such information."

Will I have to give investigators my passwords or access to my social media accounts?

No. You will not be required to provide passwords, log into your private accounts, or take any action that would disclose non-publicly available social media information. Investigators are not allowed to create accounts or use existing accounts on social media for the purpose of connecting (e.g., "friend", "follow") to your account.

Why are PSIs and security clearances necessary?

PSIs and security clearances are key elements in protecting the national security of the United States. PSIs and security clearances are required to safeguard sensitive information and facilities and to counter the threats from:

Foreign intelligence services,
Organizations or people who wish to overthrow or harm the United States government through unlawful means, and
Individuals who lack the judgment, reliability, trustworthiness, and willingness to comply with rules and regulations to properly safeguard sensitive and classified government information.

What can I do to speed the investigation process?

The best way to help speed up an investigation is to provide accurate, detailed information on the SF86 (application form). A lot of information is required to conduct a background investigation. The paper version of the SF86 is 130 pages, not including instructions and releases. The electronic version of the form is shorter for most applicants, because on the electronic version a "no" response to a threshold question causes the program to skip over sub-questions where no entries are required. Incomplete or incorrect information can significantly delay the investigation. For information on what is needed to complete the application, see the paper (PDF) version of the SF86.

What is Continuous Evaluation?

Continuous Evaluation (CE) is the automated monitoring of numerous commercial and government databases for security-relevant information concerning individuals who have a security clearance or hold a sensitive position. Continuous Evaluation is probably a misnomer in that monitoring is frequent but not continuous. The system automatically reports relevant information to security clearance adjudicators for their review and action. CE was developed by the DoD Personnel and Security Research Center (PERSEREC) as the Automated Continuous Evaluation System (ACES).

Security Clearance for Facilities

What is the National Industrial Security Program (NISP)?

The National Industrial Security Program (NISP) was established by Executive Order 12829 to ensure that cleared U.S. defense industry safeguards the classified information in their possession while performing work on contracts, programs, bids, or research and development efforts."

DCSA administers the NISP on behalf of the Department of Defense and 33 other federal agencies. There are approximately 12,500 contractor facilities that are cleared for access to classified information under DCSA's security oversight responsibilities. DCSA provides field personnel, Government Contracting Activities (GCAs) and cleared contractors with timely, consistent policy guidance and to provide effective interpretation of the NISP.[7]

The National Industrial Security Program Operating Manual (NISPOM) contains specific information about cleared contractor responsibilities under the NISP. All classified federal contracts require compliance with the provisions of the NISPOM.

What is a cleared Facility?

The term facility is used within the National Industrial Security Program (NISP) as a common designation for an operating entity consisting of a plant, laboratory, office, college, university, or commercial structure with associated warehouse, storage areas, utilities and components, which are related by function or location. A cleared facility is one that is authorized to safeguard classified information and/or sponsor personnel for security clearances.

What is a Facility Security Clearance?

A Facility Security Clearance (FCL) is an administrative determination that, from a national security standpoint, a facility is eligible for access to classified information at as high a classification level as the security clearance being granted. The FCL may be granted at the Confidential, Secret, or Top Secret level. The FCL requires the execution of a Department of Defense Security Agreement (DD Form 441). Under the terms of the agreement, the Government agrees to issue the FCL and inform the contractor as to the security classification of information to which the contractor will have access. The contractor, in turn, agrees to abide by the security requirements set forth in the National Industrial Security Program Operating Manual (NISPOM).

How does a company get a Facility Security Clearance (FCL)?

A company must be sponsored by a government agency or a security cleared contractor for an FCL based on a bona fide procurement need. A company cannot sponsor itself for an FCL. The sponsoring organization sends a sponsorship letter to DCSA.

Once a request is made, what is involved in getting a FCL?

There are two types of FCLs—possessing and non-possessing. When the DCSA Facility Clearance Branch (FSB) determines that a request for a "possessing" FCL is valid, the facility is sent information about the process and instructions on how to prepare for the process. Within 5-10 days a telephone survey is conducted to discuss the facility's specific situation. The facility then gathers and electronically uploads their business documents via National Industrial Security System (NISS). Once the complete FCL package is submitted, a DCSA Industrial Security Representative (ISR) from a local DCSA Industrial Security Field Office is assigned to the facility. If the ISR determines that the package is complete, it will be forwarded for additional reviews and the ISR will notify FSB to process the facility's Key Management Personnel (KMP) for Personnel Security Clearances (PCLs). The facility submits PCL applications and fingerprints for their KMP. The ISR performs an initial FCL orientation meeting at the facility. If eligible, the facility receives an interim FCL; otherwise, the facility will have to wait for a final FCL decision.

FCLs for "non-possessing" (also known as Access Elsewhere—AE) facilities are processed by the DCSA National Access Elsewhere Security Oversight Center (NAESOC). The FCL processing for AE facilities is similar to "possessing" facilities, but is managed centrally at the NAESOC. Security requirements are less complicated, because all access to classified information will occur at a Government facility or the facility of another cleared contractor.

Who has to be cleared in connection with a Facility Security Clearance (FCL)?

A Defense Counterintelligence and Security Agency (DCSA) Industrial Security Representative (ISR) with the help of the company's point of contact will determine which individuals must be cleared as part of the FCL. Ordinarily, those people who have control over the company (e.g., the CEO, President, Executive VPs, and other officers or board members), the Facility Security Officer (FSO), and the Insider Threat Program Senior Official (ITPSO) must be cleared at the same level as the FCL. Those individuals cleared as part of the FCL are called Key Management Personnel (KMP). The FSO can also be the ITPSO. There are facilities with only one KMP.

What happens if a "controlling" officer cannot be cleared in connection with the Facility Security Clearance (FCL)?

The facility will not be eligible for a Facility Security Clearance (FCL), unless the officer officially steps down from his or her position as an officer/director and relinquish control of the facility. Often the removal of a controlling officer can be obviated by adopting a corporate board resolution that excludes an owner or officer from any control or involvement in a classified contract. The ISRs can help assist with the preparation, adoption by the company, and acceptance by DCSA of the board resolution.

How much does it cost to get a Personnel Security Clearance (PCL)?

With very limited exceptions there is no direct charge to federal contractors for a Personnel Security Clearance (PCL). Government agencies receive appropriated funds to cover the cost of adjudicating security clearances and to pay an Investigation Service Provider, like DCSA/NBIB, for security clearance investigations. DCSA receives appropriated funds to pay for federal contractor clearance investigations and adjudications under the NISP. DCSA also receives appropriated funds to pay for security clearance adjudication for the military service departments and other DoD agencies.

What does the Facility Security Clearance (FCL) cost the contractor?

There is no direct charge to the contractor for processing a Facility Security Clearance (FCL). However, the contractor is responsible for security costs associated with participation in the National Industrial Security Program (NISP) (such as classified storage containers, access controls, etc.). Accordingly, contractors should determine their security requirements and related costs and consider such costs when bidding on a classified contract.

What type of security controls must be in place if a facility is security cleared?

The NISP Operating Manual (NISPOM) prescribes the minimum security requirements that must be fulfilled by security cleared contractors. The Industrial Security Representative (ISR) can provide guidance to the contractor in implementing these requirements in their facility. The implementation of these requirements will ensure the adequate safeguarding of the classified information involved. In some cases, Government agencies have requirements for additional safeguards. For example, if your contract requires you to institute a Special Access Program (SAP), additional controls beyond those normally required will be necessary.

How long does the facility security clearance remain in effect?

The facility security clearance remains in effect as long as the Department of Defense Security Agreement (DD Form 441), is effective. This agreement may be terminated by either party by thirty days' notice. Generally, most facility security clearances remain in effect as long as there is a need for the contractor to have access to classified information.

Can the government conduct inspections of a cleared facility?

Periodic security reviews of all security cleared contractors are conducted by the assigned DCSA ISR to ensure that safeguards employed by contractors are adequate for the protection of classified information. DCSA has moved to Risk-based Industrial Security Oversight (RISO). The ISR will determine the frequency of periodic security reviews.

Compiled by:
William H. Henderson
Federal Clearance Assistance Service
February 2021

[6] Ibid.

[7] Retrieved from the Defense Counterintelligence and Security Agency, National Industrial Security Program webpage at https://www.dcsa.mil/mc/ctp/riso/ on January 30, 2021.