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DOD MANUAL 5200.02
PROCEDURES FOR THE DOD PERSONNEL
SECURITY PROGRAM (PSP)
Originating Component:
Office of the Under Secretary of Defense for Intelligence
Effective:
April 3, 2017
Releasability:
Cleared for public release. Available on the DoD Issuances Website at
http://www.dtic.mil/whs/directives.
Incorporates and Cancels: DoD 5200.2-R, “Personnel Security Program,” January 1987
Under Secretary of Defense for Intelligence Memorandum, “Minimum
Requirements for Interim Eligibility to Access Secret and Confidential
Information,” January 17, 2014
Approved by:
Todd R. Lowery, Performing the Duties of the Under Secretary of Defense
for Intelligence
Purpose: In accordance with the authority in DoD Directive (DoDD) 5143.01 and DoD Instruction
(DoDI) 5200.02, the issuance implements policy, assigns responsibilities, and provides procedures for
the DoD PSP. This issuance:
• Assigns responsibilities and prescribes procedures for investigations of individuals seeking to hold
national security positions or perform national security duties who are required to complete Standard
Form (SF) 86, “Questionnaire for National Security Positions,” for personnel security investigations
(PSIs).
• Sets procedures for DoD PSP national security eligibility for access determinations; personnel
security actions; continuous evaluation (CE); and security education requirements for employees
seeking eligibility for access to classified information or to hold a sensitive position (referred to in this
manual as “national security eligibility”).
• Prescribes procedures for administrative due process for employees. Administrative due process for
contractor personnel is governed by DoDD 5220.6.
DoDM 5200.02, April 3, 2017
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 5
1.1. Applicability. .................................................................................................................... 5
1.2. Information Collections. ................................................................................................... 5
SECTION 2: RESPONSIBILITIES ......................................................................................................... 6
2.1. Under Secretary of Defense for Intelligence (USD(I)). .................................................... 6
2.2. Director, Defense Intelligence (Intelligence and Security) (DDI&I&S)). ........................ 7
2.3. Director, Defense Security Service (DSS). ....................................................................... 7
2.4. GC DoD. ........................................................................................................................... 8
2.5. Director, Defense Office of Hearings and Appeals (DOHA). .......................................... 8
2.6. Under Secretary of Defense for Personnel and Readiness (USD(P&R)). ........................ 8
2.7. Director, Department of Defense Human Resources Activity (DoDHRA). ..................... 8
2.8. Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)).
............................................................................................................................................. 9
2.9. Director, Washington Headquarters Services (WHS). ..................................................... 9
2.10. DoD Component Heads. ................................................................................................. 9
2.11. Heads of DoD IC Elements........................................................................................... 11
2.12. Secretary of the Air Force. ............................................................................................ 11
SECTION 3: NATIONAL SECURITY INVESTIGATIONS ...................................................................... 13
3.1. General. ........................................................................................................................... 13
3.2. Federal Investigative Standards (FIS). ............................................................................ 13
3.3. Investigative Requirements............................................................................................. 13
3.4. Polygraph. ....................................................................................................................... 14
3.5. Post-Adjudicative Inquiries. ............................................................................................ 14
3.6. Reinvestigations. ............................................................................................................. 14
SECTION 4: SPECIFIC INVESTIGATIVE REQUIREMENTS BY POPULATION ........................................ 17
4.1. Civilian Personnel. .......................................................................................................... 17
4.2. Military Personnel. .......................................................................................................... 20
4.3. Contractors. ..................................................................................................................... 20
4.4. Consultants and Grantees of a DoD Component. ........................................................... 20
4.5. Non-U.S. Citizens Employed Overseas in Support of National Security Positions. ...... 20
4.6. Temporary Employees. ................................................................................................... 21
4.7. Wounded Warrior Security and Intelligence Internship Program (WWSIIP). ............... 21
4.8. Retired General or Flag Officer (GO/FO) or Civilian Equivalent. ................................. 22
4.9. Red Cross and United Service Organization (USO) Personnel. ..................................... 22
4.10. Persons Outside the Executive Branch. ........................................................................ 23
SECTION 5: INVESTIGATIVE REQUESTS ......................................................................................... 25
5.1. General. ........................................................................................................................... 25
5.2. Authorized Requestors. ................................................................................................... 25
5.3. Limitations and Restrictions for Submitting Investigations. .......................................... 25
5.4. Processing Investigative Forms. ..................................................................................... 26
5.5. Temporary (or Interim) National Security Eligibility. .................................................... 29
5.6. One-Time or Short Duration Access............................................................................... 29
5.7. Accountability of Personnel Security Reports and Records. .......................................... 29
TABLE OF CONTENTS
2
DoDM 5200.02, April 3, 2017
5.8. Subject Request for PSI Report. ..................................................................................... 30
5.9. Records Disposition. ....................................................................................................... 30
APPENDIX 5A: RECIPROCITY ...................................................................................................... 32
5A.1. General. ........................................................................................................................ 32
5A.2. Verify Eligibility. ......................................................................................................... 33
5A.3. Exceptions to Reciprocity. ........................................................................................... 33
5A.4. Annotating Reciprocal Determinations........................................................................ 34
5A.5. Additional Reciprocity Guidance for SCI Access. ...................................................... 34
5A.6. Reciprocity for the Nuclear Regulatory Commission and the DOE. ........................... 34
SECTION 6: LAA FOR NON-U.S. CITIZENS .................................................................................... 35
6.1 General. ............................................................................................................................ 35
6.2. Conditions for LAA. ....................................................................................................... 35
6.3. Investigative Requirements............................................................................................. 36
6.4. Authorized Access Levels............................................................................................... 36
6.5. Unauthorized Access Levels. .......................................................................................... 37
6.6. Request Procedures. ........................................................................................................ 37
6.7. LAA Determination Authority. ....................................................................................... 38
SECTION 7: NATIONAL SECURITY ADJUDICATIONS ....................................................................... 39
7.1. General. ........................................................................................................................... 39
7.2. Adjudication Authorities................................................................................................. 39
7.3. Prohibition on Retaliation by Affecting Eligibility for Access to Classified Information.
........................................................................................................................................... 40