What Happens When Security Clearances are Denied

When an employee or potential employee is considered for a security clearance, the employer or sponsor requests a security clearance investigation. An investigation is performed to look into a person’s past and present to gather information. This information is evaluated to determine if the subject can be entrusted with sensitive information. CONFIDENTIAL and SECRET security clearances result in favorable determinations based on a National Agency Check with Law and Credit investigation and for TOP SECRET, the Single Scope Background Investigation.

The security clearance request process is finalized during the adjudication period. Here, decisions are made whether or not to grant a clearance based on investigation results as related to the whole person concept and in the best interest of national security. The adjudicator evaluates results to determine whether or not an applicant is suited to protect classified information.

There are 13 categories of behavior that could prevent a person from getting a clearance or prevent the continuance of a current clearance. Simply, the adjudicator evaluates at the investigation results and makes a decision. If there are indications that it is NOT in the best interest of national security grant a clearance, then a clearance will be denied or revoked.

Sometimes mistakes happen and investigations don’t provide a complete “whole person” profile. So, what can a person do when they have been denied or has had a security clearance revoked?

Executive Order 10865 provides a process that allows an employee the opportunity to appeal or turn around unfavorable security clearance adjudication. Where there was no earlier process or consistency in policy, this order provided standards for addressing security clearance denials or revocations.

Going back to the decision making stage, the adjudicator reviews the investigation and focuses on thirteen criteria. The goal is to determine whether or not an applicant can be trustworthy to adequately protect classified information. Here are the 13 topics:

1. Allegiance to the United States
2. Foreign influence
3.  Foreign preference
4. Sexual behavior
5. Personal conduct
6. Financial considerations
7. Alcohol consumption
8. Drug involvement
9. Emotional, mental, and personality disorders
10. Criminal conduct
11. Security violations
12. Outside activities
13.  Misuse of Information Technology Systems

The adjudicator will consider the whole person concept. In other words, if the subject has violated one or more of the criteria, they may still be able to get their clearance. The adjudicator considers all mitigating circumstances before making a final decision. The circumstances include the following and are compared to each of the 13 topics:

• The nature, extent, and seriousness of the conduct
• The circumstances surrounding the conduct, to include knowledgeable participation
• The frequency and the time elapsed since the conduct
• The individual's age and maturity at the time of the conduct
• The willingness to participate

So, what happens when the adjudicator considers all available information and denies or revokes a clearance?

The applicant can appeal. Perhaps all the information wasn’t provided, the investigation missed some mitigating circumstances. The applicant did not provide enough information or other oversight or omission occurred. If so, the applicant has another chance to present their case.

The process allows the applicant to go to court or have an administrative judge make a decision. In both cases, the adjudicator and applicant can present their cases for a judge’s decision. The judge will make a determination based on what is best for national security.

For those currently holding clearances, undergoing investigations or considering working in an industry where background investigations are conducted, act accordingly. If it is necessary to explain or mitigate questionable past or current behavior, gather information, witnesses and evidence that will support a decision to grant the clearance. The final decision will be made in the interest of national security and the applicant influence that decision.

Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM

Beyond Gates and Guards-Protecting Company Secrets

Gates and guards seem to be the back stop of most security efforts. However, without a real risk or security assessment, these efforts only go so far. Many Facility Security Officers (FSO) and cleared employees work within the walls of impenetrable fortress like structures. These reinforced security bunkers are built to withstand repeated break in attempts as well as maintain state of the art alarms, close circuit television cameras, and card readers that can resist and detect most types of intrusion, but…

…when was the last time you’ve read of an intruder breaking into a cleared facility and cracking a security container to run off with secrets? What do DSS, security educators and security practitioners preach as the biggest threat? Sensitive information available in the public sector, trusted employees transferring technical data to adversaries through seminars, emails, or just walking out of secure facilities with it.

Without addressing the real threat, the security community continuously pumps resources into protecting sensitive information primarily with physical security.  Cleared employees are trained how to properly mark, store and disseminate classified information, but not taught how to effectively communicate without inadvertently disclosing sensitive information. For example, a scientist disclosing intellectual property, proprietary information or export controlled data at a conference or symposium. In other words, how do sensitive program employees work with, discuss, or demonstrate their technology without transferring technical information?

There’s another threat. According to this article, http://www.reuters.com/article/2012/06/13/us-media-tech-summit-symantec-idUSBRE85B1E220120613, there is an imminent cyber threat. Even though we are aware of this vulnerability, we are unprepared to protect information on servers and computers.

Recognizing that there are more obvious threats than cat burglars, here are 5 ways you can develop real countermeasures and strengthen security in your facility.

1. Perform risk analysis. Make sure you know what you know. Conduct a crime search by zip code, research the weather, form working groups and determine what needs to be protected. List the treats and vulnerabilities and impact. Then form your security plan.

2. Determine government requirements. If you fall under NISPOM, HIPAA or other regulation, these trump your risk analysis and must be considered. Make sure your security plan is equal to or exceed the government requirements.

3. Understand contractual requirements. FSOs can get valuable information from the DDForm254, statements of work and security classification guides.

4. Develop security program based on numbers 1-3. Include the risk and develop countermeasures and implement those countermeasures as well as regulated NISPOM and other requirements. Identify the threat, determine the risk of threat, and document impact and countermeasure costs.

5. Train employees to meet the security program requirements.

Gates and guards are the most visible and popular method of security. Considering the real threat, they may be the least useful. It is almost impossible for an adversary to break in, but very easy for an authorized employee to walk out with the secret sauce.

For more information on conducting risk analysis and creating countermeasures, see “DoD Security Clearance and Contracts Guidebook”

See article about cyber threats below.

Leading cyber experts warned of a shortage of talented computer security experts in the United States, making it difficult to protect corporate and government networks at a time when attacks are on the rise. Symantec Corp Chief Executive Enrique Salem told the Reuters Media and Technology Summit in New York that his company was working with the U.S. military, other government agencies and universities to help develop new programs to train security professionals.

"We don't have enough security professionals and that's a big issue. What I would tell you is it's going to be a bigger issue from a national security perspective than people realize," he said on Tuesday. The warnings come at a time when the security industry is under fire for failing to detect increasingly sophisticated pieces of malicious software designed for financial fraud and espionage and failing to prevent the theft of valuable data. More <http://www.reuters.com/article/2012/06/13/us-media-tech-summit-symantec-idUSBRE85B1E220120613> 

Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM

Periodic Reinvestigations

The granted security clearance is part of a continuing evaluation process. Once a security clearance is granted the cleared employee will be periodically reevaluated and reinvestigated if the clearance is to remain in effect. When cleared employees require access to classified material beyond the scope of the initial investigation, the facility security office will submit a request for a Periodic Reinvestigation (PR). The adjudicator makes decisions concerning whether or not the subject’s allegiance is still to the United States, they can still be trusted to protect classified information and they will still be able to carry out their duties at all times.

The PR for the TOP SECRET clearance is the same level of investigation as was initially conducted. The SSBI-PR is conducted every 5 years as needed. For SECRET, the NACLC is conducted every 10 years and for CONFIDENTIAL the NACLC is conducted every 15 years. Part of the security education process emphasizes the importance of continuous evaluation of the cleared employee. This is a requirement for cleared employees to report any information on themselves and other cleared employees that may demonstrate an inability to protect classified information.

 
However, the PR should not be the first time the investigator, adjudicator or FSO becomes aware of adverse information. The FSOs security training should include the requirement for cleared employees to report instances where either they or other cleared employees demonstrate behavior that may question their ability to protect classified information. Such examples include:
 

• Excessive and or unpaid dept
• Undue affluence
• Alcohol or drug related incidences
• Inability or refusal to comply with security policies

The continuous evaluation process is in place to protect our nations secrets. Security clearances are not "one and done", but a process of determining whether or not an employee or organization can continue to be trusted to protect classified information. Failure to report adverse information violates many directives, agreements and regulations including the DD Form 441 DoD Security Agreement, NISPOM, Classified Information Nondisclosure Agreement, and EO 12968.  Violations could cause your cleared employees or organization to lose their secruity clearance.  
 
For more informaiton, read Insider's Guide to Security Clearances or DoD Security Clearances and Contracts Guidebook.
Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM

Latest Article in Clearancejobs.com

A security clearance demonstrates that the government has determined that you are trustworthy. As such, you may perform on classified contracts depending on your security clearance level and need to know. To better understand how to protect classified information, it may help to understand how and why security classification is assigned. The following provides answers to popular questions: 

Classification Levels and Why Certain Information is Classified

Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM

Marking Classified Information-Summary

Cleared employees who perform on classified contracts should be able to recognize what is classified and know how to protect the classified material based on the markings provided. Classified information comes in many forms. Classified objects and products are marked on the top, bottom, sides, front and back. If the item is bulky, odd shaped or otherwise a size and configuration that makes mandatory marking difficult, the markings should be placed as clearly as possible to convey the proper classification level. Multiple page classified documents have many places reserved for classification markings.

Additionally, the source of classification, reason for classification, and duration are applied to classified items. Derived classifications will have a statement indicating from where the classified information came. While working with classified items, cleared employees are responsible for challenging any classified information that has been incorrectly or unnecessarily classified, should be downgraded or upgraded to another classification level or that security classification guidance
is incorrect or not sufficient


For more detailed information of marking classified information, see Chapter 6 of DoD Security Clearances and Contracts Guidebook

Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM

Test your Knowledge with FSO Problems From Chapter 6 DoD Security Clearance and Contracts Guidebook

Test your Knowledge with Problems From Chapter 6 DoD Security Clearance and Contracts Guidebook

1. As a document custodian, your responsibilities include receiving and inspecting documents for proper classification markings. You receive a properly wrapped classified document from a Government agency with the following characteristics:   
     • Contains UNCLASSIFIED, CONFIDENTIAL and SECRET information
     • Created on June 21, 2007
     • Reason for Classification is 1.4 (a)
     • Contains 400 pages
     • Classified by: Jon Wain, RBP, 1022 DDMA
     • Classification guidance is found in the Gravy Security Classification Guide

1a. Based on the above description, what are the major areas you would expect to see classification markings?

1b. Write out the “By:” line describing who classified the material, reason for classification and the declassify on date.

1c. Which classification marking would you expect to find on the overall marking?

2. Your security team is conducting an annual inventory of your company’s classified holdings. In the course of the inventory, they come across a 30 page document entitled Weather Capabilities (U). The document is slightly worn but otherwise in good condition. Your team notifies you that a page is loose and that the document needs to be repaired. They also ask your opinion on some findings concerning internal illustrations;
none of the graphs, pictures or containers contains classification markings. Additional information for the document follows:
     • Created in 1986
     • Contains the following marking on the first page:
     • Classified by: RBP, 1022 DMDA
     • Reason for classification: Military capabilities
     • Declassify on: OADR
     • Contains overall classification of CONFIDENTIAL.

2a. What would you direct your team to do concerning the portion markings?

3. An engineer is about to print a report based on classified information. This report is a summary of information found in two different documents. As you prepare to help her correctly mark the derivative document you take into consideration the two source documents that she has provided. The source documents are the same as example questions 1 and 2.

3a. The derived document contains information classified SECRET, how would the “Classified by:” line be filled out?

3b. What should be put on the “Reason for classification:” line?

3c. What would be the duration of classification?

4. You are making the rounds of your security team’s area and overhear a heated discussion between your team members and a technical writer. In order to diffuse the situation, you politely interrupt the conversation and ask the technical writer if you can be of any help. He informs you that “your” security specialist
has rejected acceptance of the document based on classification marking errors. He states that it is a good product and no one would notice the mistake anyway. What would you say to him?

5. A program manager knocks on your door and asks if you have a moment for something important. He asks you to take a walk with him to a secure area where he shows you a piece of hardware. The object is small enough to fit in your hand. You notice a commercial CONFIDENTIAL label; the kind that a manufacturer might install at the factory. The manager lets you know that he has been informed that the object is not classified at all, but that the manufacturer installed the labels as classified material would be added at a later date. The program manager would like to bring the item to an unclassified meeting seeing that “it’s not classified anyway.” You notice that the object is well worn and does not look new at all.

5a. Where can you go to discover whether or not the item is classified?

5b. Are there any other sources?

5c. After speaking with the right people and consulting the authoritative documents, you are now more confused than ever. You decide to challenge the classification to seek the clarification you need to properly protect the item. Describe the process you would employ.


Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM

6 Great Reasons to Mark Classified Information

Classification markings are applied to the top and bottom, front and back of classified items. Markings are also found in internal pages, paragraphs and other locations inside documents, books, manuals and other paper based products.

Here are the top reasons for marking classified information:

1. Warn and inform a user that an item is indeed classified or sensitive
2. Conveys what exactly needs protection
3.  Identifies levels of classification or sensitivity
4. Provides vital information and instruction on when to downgrade or declassify the material
5. Gives sources and reason for classifying the item
6. Warns of special access, control, dissemination or safeguarding requirements

Find out more in DoD Security and Contracts Guidebook-What You Need to Know About Your Need to Know


Jeffrey W. Bennett, ISP is the owner of Red Bike Publishing Red Bike Publishing . Jeff is an accomplished writer of non-fiction books, novels and periodicals. He also owns Red bike Publishing. Published books include: "Get Rich in a Niche-Insider's Guide to Self Publishing in a Specialized Industry" and "Commitment-A Novel". Jeff is an expert in security and has written many security books including: "Insider's Guide to Security Clearances" and "DoD Security Clearances and Contracts Guidebook", "ISP Certification-The Industrial Security Professional Exam Manual", and NISPOM/FSO Training" See Red Bike Publishing for print copies of: Army Leadership, The Ranger Handbook, The Army Physical Readiness Manual, Drill and Ceremonies, The ITAR,and The NISPOM