Managing Personnel with Clearances/Access to Classified Information Welcome Welcome to the Managing...

Managing Personnel with Clearances/Access to Classified InformationWelcome

Welcome to the Managing Personnel with Clearances/Access to Classified Information Training

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Managing Personnel with Clearances/Access to Classified InformationObjectives

At the end of this training, you will be able to demonstrate your reporting responsibilities for personnel security and insider threat concerns as part of the Continuous Evaluation Program for security clearance retention by meeting the following objectives:

• Given a series of personnel security and insider threat concerns, identify the reportable adjudicative guideline or insider threat indicator.

• Explain your authority and responsibility to report derogatory information that may lead to personnel security concerns.

• Explain the appropriate courses of action for a performance-based concern with a subordinate.• Explain the whole-person concept used in the adjudication process.• Describe the three sources of personnel reporting essential to maintaining the integrity of the

Continuous Evaluation Program.• Given a series of life events and personal situations, determine which items require an individual to

self-report.

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Managing Personnel with Clearances/Access to Classified InformationTopics Overview

Topics in this training include:

Eligibility for Access• Adjudicative Guidelines• Insider Threat Indicators• Derogatory Information

Reporting Responsibilities• Personnel Security Concerns• Performance-Based Concerns

The Adjudicative Process• The Whole-Person Concept• Areas of Consideration• Conduct Factors

Continuous Evaluation Program• Continuous Evaluation Program Overview• Integrity of the Continuous Evaluation Program• Self-Reporting Requirements

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Managing Personnel with Clearances/Access to Classified InformationTopics Overview

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This training will begin with the Eligibility for Access topic. The learning objective for this topic is:

• Given a series of personnel security and insider threat concerns, identify the reportable adjudicative guideline or insider threat indicator.

Eligibility for Access• Adjudicative Guidelines• Insider Threat Indicators• Derogatory Information

The ultimate determination of granting or continuing eligibility for a security clearance is based upon careful consideration of the 13 adjudicative guidelines. As a member of the Command Team, you will identify behaviors that may indicate an individual has security vulnerabilities or needs assistance.

Though a specific behavior in and of itself may not result in an incident report, you should still report it to the S2 or Security Manager. Reporting these behaviors may get the person the help he or she needs before the concern becomes a more serious issue.

Adjudicative GuidelinesManaging Personnel with Clearances/Access to Classified Information

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• Allegiance to the U.S. • Drug Involvement

• Foreign Influence • Psychological Conditions

• Foreign Preference • Criminal Conduct

• Sexual Behavior • Handling Protected Information

• Personal Conduct • Outside Activities

• Financial Considerations • Use of Information Technology Systems

• Alcohol Consumption

Managing Personnel with Clearances/Access to Classified InformationAdjudicative Guidelines

Guideline A: Allegiance to the United States

• Actual or threatened use of force or violence in an effort to change Government policy, preventing Government personnel from performing their assigned duties, or preventing others from exercising their constitutional rights

• Known participation in any organization or group advocating or threatening use of force of violence, such as gangs or extremist groups

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Guideline B: Foreign Influence

• Unreported personal contacts with personnel from a foreign intelligence service, foreign government, or persons seeking classified, proprietary, or other sensitive information

• Unreported close and continuing contact with a foreign national, to include dating, intimate contacts, shared living quarters, or marriage

• Unreported relatives or unreported contact with relatives in a foreign country

• Unreported relationship between relative, associate, or person sharing living quarters and any foreign government, foreign intelligence service, criminal or terrorist group, or group advocating disloyalty toward the U.S.

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Guideline C: Foreign Preference

• The exercise of any right, privilege, or obligation of foreign citizenship after becoming a U.S. citizen or through the foreign citizenship of a family member

• A deeply held commitment to helping a foreign country or group which may circumvent U.S. policy or security regulations

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Guideline D: Sexual Behavior

• Pattern of compulsive, self-destructive, or high-risk sexual behavior the individual is unable to stop

• Criminal sexual behavior

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Guideline E: Personal Conduct

• Recurring pattern of poor judgment, irresponsibility, or emotionally unstable behavior

• Deliberate omission or falsification on your personal security questionnaire

• Association with persons involved in criminal activity• Indications you may succumb to blackmail rather than risk

exposure of a personal issue• Evidence of significant misuse of Government or other

employers' time or resources• Failure to complete the SF86 or other required security

forms

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Guideline F: Financial Considerations

• Living or spending beyond one’s means• Unexplained wealth or large purchases that may indicate

illegal income• Calls at work from creditors, bounced or bad checks, tax

liens, or bankruptcy• Indications of financial difficulty, such as garnishments,

repossessions, or unfavorable judgments• Misuse of Government appropriations or Government

credit cards• Failure to make child or spousal support payments• Reckless or compulsive spending or extensive gambling

losses or debt• Improper handling of finances or property

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Guideline G: Alcohol Consumption

• Alcohol-related incidents at work, such as reporting to work in an intoxicated or impaired condition or drinking on the job

• Alcohol-related incidents away from work, such as driving while under the influence, fighting, child or spousal abuse, or other criminal incidents related to alcohol use

• Habitual or binge consumption of alcohol to the point of impaired judgment

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Guideline H: Drug Involvement

• Use, possession, or acquisition of illegal/illicit substances• Misuse (use other than as prescribed), inappropriate

possession, or inappropriate acquisition of prescription medication

• Testing positive for illegal drug use

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Guideline I: Psychological Conditions

• Pattern of significant change in behavior, such as nervousness, anxiety, depression, hyperactivity, or decline in work performance

• Expression of bizarre thoughts or expectations• Talk of or attempt to harm one’s self• Inability to control anger, exploitation, or the mistreatment

of others through intimidation• Stalking-type behavior, such as unwanted following or

harassing phone calls• Extreme or recurrent statements of bitterness, resentment,

vengeance, or disgruntlement

Note: Counseling on matters strictly related to marriage, family, grief (not related to violence by you), or adjustments from service in a military combat environment do not have to be reported. No negative inference may be raised solely on the basis of mental health counseling. Personnel are encouraged to seek assistance if needed.

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Guideline J: Criminal Conduct

• Theft• Fraud, such as bribery, misuse of a Government credit

card or leave, fraudulent travel or expense accounting, or tax fraud

• Pattern of disregard for rules and regulations, such as theft, fraud, taking classified information home at night, or driving while intoxicated

• Spousal or child abuse or neglect• Attempts to enlist others to participate in illegal or

questionable activity• Currently on parole or probation

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Guideline K: Handling Protected Information

• Persistent lax security habits, despite management counseling (such as discussing classified information on a non-secure phone, not properly securing classified information or areas, or working on classified material at home)

• Collecting or storing classified information outside approved facilities

• Revealing of classified information to unauthorized persons, including news media

• Inappropriate, unusual, or excessive interest in classified information outside one’s need-to-know

• Statements or actions that demonstrate an individual believes the security rules do not apply to him or her

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Guideline L: Outside Activities

• Outside employment or activity when it poses a conflict of interest with an individual's security responsibilities and could create an increased risk of unauthorized disclosure of classified information

• Any employment or service, whether compensated or volunteer, with the government of a foreign country; any foreign national, organization, or other entity; a representative of any foreign interest; any foreign, domestic, or international organization or person engaged in analysis, discussion, or publication of material on intelligence, defense, foreign affairs, or protected technology

• Failure to report or fully disclose an outside activity when this is required

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Guideline M: Use of Information Technology Systems

• Unauthorized and/or illegal entry into any information technology system or component thereof

• Unauthorized modification, destruction, manipulation, or denial of access to information residing on a computer system

• Unauthorized introduction of media into any Government computer system

• Storing or processing classified information on any system not explicitly approved for processing classified information

• Attempting to circumvent or defeat security or auditing systems, without prior authorization from the system administrator, other than as part of a legitimate system testing or security research

• Any misuse of information technology, whether deliberate or negligent, that results in damage to the national security

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Managing Personnel with Clearances/Access to Classified InformationInsider Threat Indicators

The insider threat includes those with placement and access in an organization who intentionally compromise the ability of the organization to accomplish its mission through espionage, extremist activities, or support to international terrorist organizations.

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A single insider threat indicator does not necessarily mean a person is involved in activities that threaten national security; however, reporting the behavior to the supporting counterintelligence office will allow appropriate threat assessment or referral to another agency.


Personnel with bags entering or exiting a secured area

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Personnel with external media (hard drives, thumb drives, CDs, disks, etc.)

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Personnel removing markings from classified equipment or documents

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Personnel printing excessively or walking out with paperwork without authorization

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Personnel working unexplained hours (late or after hours)


Personnel continuously questioning co-workers about their duties and accesses

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Managing Personnel with Clearances/Access to Classified InformationDerogatory Information

The adjudication process is used to grant or deny a security clearance. During this process, derogatory information that questions an individual’s ability to handle classified materials may be revealed. Derogatory information is unfavorable information that may warrant denial or revocation of a clearance, as it adversely reflects on a person's loyalty, reliability, and trustworthiness.

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Managing Personnel with Clearances/Access to Classified InformationDerogatory Information

When derogatory information is revealed during an investigation or reported by a Security Manager, an adjudicator will carefully weigh a number of variables, known as the whole-person concept, when making a determination of whether the granting or continuing of eligibility for a security clearance is clearly consistent with the interests of national security.

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Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Adjudicative Guidelines

As a member of the Command Team, it is your responsibility to stay aware of potential security concerns which need to be reported. You will evaluate each situation and determine the applicable adjudicative guideline.

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Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Adjudicative Guidelines

My Security Manager contacted my supervisor, who is now asking me to complete my security questionnaire. I have been delaying this process because I am concerned a few issues from my past will affect my eligibility for a clearance. I think I will just omit those issues because they happened a while ago and I am not the same person anymore.

Which adjudicative guideline best addresses this scenario?

A. Criminal ConductB. Allegiance to the United StatesC. Personal ConductD. Outside Activities

PVT Williams

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Managing Personnel with Clearances/Access to Classified Information

My Security Manager contacted my supervisor, who is now asking me to complete my security questionnaire. I have been delaying this process because I am concerned a few issues from my past will affect my eligibility for a clearance. I think I will just omit those issues because they happened a while ago and I am not the same person anymore.


A. Criminal ConductB. Allegiance to the United StatesC. Personal ConductD. Outside Activities

Personal Conduct is the guideline that addresses deliberate omission or falsification on your personal security questionnaire.

PVT Williams

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Check on Learning – Adjudicative Guidelines


I am having difficulties in my marriage and have been arguing with my husband on a regular basis. I often find myself feeling sad and depressed, but I don't really know what to do. My brother suggested I seek counseling, but I'm concerned this will affect my security clearance.


A. Psychological ConditionsB. Drug InvolvementC. Personal Conduct D. Alcohol Consumption

SPC Davis

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I am having difficulties in my marriage and have been arguing with my husband on a regular basis. I often find myself feeling sad and depressed, but I don't really know what to do. My brother suggested I seek counseling, but I'm concerned this will affect my security clearance.


A. Psychological ConditionsB. Drug InvolvementC. Personal Conduct D. Alcohol Consumption

Psychological Conditions is the guideline that addresses patterns of significant change in behavior, such as nervousness, anxiety, depression, hyperactivity, or decline in work performance. Counseling on matters strictly related to marriage, family, grief (not related to violence by you), or adjustments from service in a military combat environment do not have to be reported. No negative inference may be raised solely on the basis of mental health counseling. Personnel are encouraged to seek assistance if needed.

SPC Davis

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I’ve been playing an online game lately, which has allowed me to meet many people from around the world. I quickly became friends with a citizen of Yemen. We play together constantly, and he seems to be genuinely interested in what I do. After I told him I am a Soldier in the U.S. Army, he became excited. We are constantly e-mailing and chatting now. He has even planned a vacation to the U.S. and will be staying with me. I can’t wait to show him the post and everything we do here.


A. Allegiance to the United StatesB. Foreign InfluenceC. Foreign PreferenceD. Personal Conduct

SFC Miller

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I’ve been playing an online game lately, which has allowed me to meet many people from around the world. I quickly became friends with a citizen of Yemen. We play together constantly, and he seems to be genuinely interested in what I do. After I told him I am a Soldier in the U.S. Army, he became excited. We are constantly e-mailing and chatting now. He has even planned a vacation to the U.S. and will be staying with me. I can’t wait to show him the post and everything we do here.


A. Allegiance to the United StatesB. Foreign InfluenceC. Foreign PreferenceD. Personal Conduct

Foreign Influence is the guideline that addresses unreported personal contacts with personnel from a foreign intelligence service, foreign government, or persons seeking classified, proprietary, or other sensitive information.

SFC Miller

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A co-worker and I were working on a classified document, but we needed to declassify it. In the interest of time, I witnessed my co-worker remove the classified paragraph markings, the header and footer that had the overall classification marking, and some descriptive words in the document he thought made it classified. He then printed the document and placed it in a binder designated for our senior briefer.


A. Personal ConductB. Financial ConsiderationsC. Foreign InfluenceD. Handling Protected Information

SGT Harris

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A co-worker and I were working on a classified document, but we needed to declassify it. In the interest of time, I witnessed my co-worker remove the classified paragraph markings, the header and footer that had the overall classification marking, and some descriptive words in the document he thought made it classified. He then printed the document and placed it in a binder designated for our senior briefer.


A. Personal ConductB. Financial ConsiderationsC. Foreign InfluenceD. Handling Protected Information

Handling Protected Information is the guideline that addresses the concern for statements or actions that demonstrate an individual believes the security rules do not apply to him or her.

SGT Harris

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Managing Personnel with Clearances/Access to Classified InformationCheck on Learning - Insider Threat Indicators

Past insider threats targeting Army personnel and facilities demonstrate that co-workers and Command Team members would have minimized the damage to national security or saved the lives of Army personnel had they reported potential concerns. Which behavior should NOT be reported to the counterintelligence office? A. Personnel printing excessively or walking out with paperwork without

authorizationB. Personnel continuously questioning co-workers about their duties and accessesC. Personnel leaving unclassified documents on their deskD. Personnel working unexplained hours (late or after hours)

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Managing Personnel with Clearances/Access to Classified InformationCheck on Learning - Insider Threat Indicators

Past insider threats targeting Army personnel and facilities demonstrate that co-workers and Command Team members would have minimized the damage to national security or saved the lives of Army personnel had they reported potential concerns. Which behavior should NOT be reported to the counterintelligence office? A. Personnel printing excessively or walking out with paperwork without

authorizationB. Personnel continuously questioning co-workers about their duties and accessesC. Personnel leaving unclassified documents on their deskD. Personnel working unexplained hours (late or after hours)

Personnel leaving unclassified documents on their desk is not an insider threat indicator, as it is not a malicious act done to compromise classified or sensitive information.

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Managing Personnel with Clearances/Access to Classified InformationTopics Transition

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You have finished the Eligibility for Access topic area. Your next topic area is the Reporting Responsibilities. The learning objectives for this topic are:

• Explain your authority and responsibility to report derogatory information that may lead to personnel security concerns.

• Explain the appropriate courses of action for a performance-based concern with a subordinate.

Reporting Responsibilities• Personnel Security Concerns• Performance-Based Concerns

Managing Personnel with Clearances/Access to Classified InformationReporting a Personnel Security Concern: Authority

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Your authority as a member of the Command Team is to bridge the gap between your personnel and the S2 or Security Manager.


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You must report derogatory information, allegations of misconduct, or situations to your S2 or Security Manager, which indicate a concern for all personnel under your authority. This authority includes military and civilian personnel, as well as those with or without clearances. The S2 or Security Manager bridges the gap between you and adjudicators at the Army Central Clearance Facility (CCF). Therefore, the S2 or Security Manager is an ally and exists to help you with potential personnel security concerns.


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You should use the 13 adjudicative guidelines as the baseline in determining what to report. If a situation occurs that indicates an individual has vulnerabilities of a security concern or an individual is in need of assistance, you must report it. As a member of the Command Team, you are in a position to help the employee. You are also responsible for reporting allegations which fall in line with the adjudicative guidelines. If allegations are not reported, the employee’s next station will not be aware of the situation.


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It is not your role to make eligibility determinations. Adjudicators with that authority will determine if there are any patterns developing which may be of a security concern. Field adjudication is assuming the outcome of the adjudication process and therefore deciding on your own whether or not to report a situation. You may think you are helping your personnel by not reporting a situation, when ultimately it could harm them.

Managing Personnel with Clearances/Access to Classified InformationReporting a Personnel Security Concern: Responsibility

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As a member of the Command Team, you must report potential derogatory information to the S2 or Security Manager as soon as you become aware of it. Refer to AR 380-67 for the latest guidance on reporting responsibilities.

Incident Report:

The S2 or Security Manager will review the potential derogatory information. If the report contains information relevant to the adjudicative guidelines, he or she will consult with the commander, and an initial incident report will be submitted in the Joint Personnel Adjudication System (JPAS).


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Follow-Up Report:

The S2 or Security Manager, acting on behalf of the commander, will submit follow-up reports with supporting documentation every 90 days to the CCF until the incident has been finalized. Follow-up documents might include the results from a 15-6 investigation, counseling statements, or certificates of completion from alcohol or drug treatment programs.


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Final Incident Report:

The S2 or Security Manager must then close out the incident report. An incident report cannot be finalized until all supporting documentation is provided to the CCF. Supporting documentation would include the results of a 15-6 investigation with findings or a final command determination (for example, punishments). If the person was arrested, then final court documents are required which reflect the final disposition and show if fines or fees have been paid. Failure to submit a final incident report with supporting documentation may impact a person’s ability to complete the mission or seek employment elsewhere.


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Option 1:

Incident report with no suspensionImpact on Access:

Leave as isNotes:

Individual continues to work normally.

Access Options:

Those with authority have three options regarding an individual’s access:


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Option 2:

Incident report with local/informal suspensionImpact on Access:

Suspend locally (debrief access in JPAS)Notes:

Individual cannot have access to classified information and will be barred access to unclassified and classified information systems until favorable adjudication of an investigation. Waivers for continued access to unclassified systems must be justified in a written request, with the commander's concurrence, to the designated approving authority (DAA) for approval.


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Option 3:

Incident report with formal suspensionImpact on Access:

Suspend "formally" in JPASNotes:

Only the commander can authorize formal suspension of access in JPAS. Individual cannot have access to classified information and will be barred access to unclassified and classified information systems until the Army CCF makes a favorable eligibility determination. Waivers for continued access to unclassified systems must be justified in a written request, with the commander's concurrence, to the DAA for approval.

Managing Personnel with Clearances/Access to Classified InformationReporting a Performance-Based Concern

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A performance-based concern is not necessarily derogatory information that impacts the ability to hold or obtain a security clearance, but if left unchecked, it may lead to bigger issues that will impact the ability to obtain or maintain a security clearance.


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Recognizing a performance-based concern is important to provide assistance to those under your leadership, or refer them to the appropriate resources.


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Early intervention can help prevent issues from potentially becoming a security concern.


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A performance-based concern could contain elements of a security concern that should be reported to the S2 or Security Manager.

Security Manager


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The Command Team will then refer the Soldier or civilian employee to the appropriate facility which has Soldiers or civilian employees trained to assess whether or not the performance deficiencies are rooted in a personal problem, and, if so, help them deal with these difficulties.


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Reporting a performance-based issue with associated security concerns is not necessarily punitive.


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The most important point to remember with regard to security concerns is to report them.

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Reporting a Personnel Security Concern: Authority

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SFC Miller visits 1SG Thompson to self-report a situation. As SFC Miller explains his situation, decide which behavior best describes 1SG Thompson’s response.


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SFC Miller: 1SG, something happened last week that I believe needs to be reported, but I’m concerned it may affect my clearance. In short, things have been difficult for me financially the last few months. I tried to refinance my mortgage, but couldn’t get a loan modification. I feel a tremendous amount of pressure to provide for my family. In the stress, I made a poor decision and got into my car after drinking a little too much. I was pulled over on my way home and received a DUI. I’m really not sure what to do right now.


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1SG Thompson: Well, it doesn’t sound like you have a drinking problem to me; I think anyone in your situation would be feeling stressed. This is also an isolated incident and I’d hate to hurt your career by getting the Security Manager involved. I don’t feel this should be reported; just don’t do it again!


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This scenario illustrates the potential for command team members to assume the outcome of the adjudication process and therefore decide whether or not to report a situation. What behavior must be addressed, given it is not 1SG Thompson’s role to make eligibility determinations?

A. Final Incident ReportingB. Field AdjudicationC. Eligibility DeterminationD. Security Investigation


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This scenario illustrates the potential for command team members to assume the outcome of the adjudication process and therefore decide whether or not to report a situation. What behavior must be addressed, given it is not 1SG Thompson’s role to make eligibility determinations?

A. Final Incident ReportingB. Field AdjudicationC. Eligibility DeterminationD. Security Investigation Field adjudication is assuming the outcome of the adjudication process and therefore deciding whether or not to report a situation. Command Team members may think they are helping staff members by not reporting, when ultimately it could hurt them.

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Reporting a Performance-Based Concern

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Reporting a performance-based concern can be a preventative measure to help individuals maintain their eligibility. Which of these best describes why recognizing a performance-based concern is important when providing assistance to those under your leadership? A. Reporting may be the only chance troubled Soldiers or

civilian employees have of getting help. B. Reporting elevates overcrowding in Army assistance

programs.C. Reporting will prove your leadership abilities and help

your chances of promotion.D. Reporting establishes a better rapport with your

employees.

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Reporting a Performance-Based Concern

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Reporting a performance-based concern can be a preventative measure to help individuals maintain their eligibility. Which of these best describes why recognizing a performance-based concern is important when providing assistance to those under your leadership? A. Reporting may be the only chance troubled Soldiers

or civilian employees have of getting help. B. Reporting elevates overcrowding in Army assistance

programs.C. Reporting will prove your leadership abilities and help

your chances of promotion.D. Reporting establishes a better rapport with your

employees.

Reporting will direct the Soldier or civilian employee to the appropriate facility which has Soldiers or civilian employees trained to assess whether or not the performance deficiencies are rooted in a personal problem, and, if so, help them deal with these difficulties.


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You have finished the Reporting Responsibilities topic area. Your next topic area is the Adjudicative Process. The learning objective for this topic is:

• Explain the whole-person concept used in the adjudicative process.

The Adjudicative Process• The Whole-Person Concept• Areas of Consideration• Conduct Factors

Managing Personnel with Clearances/Access to Classified InformationThe Whole-Person Concept

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The adjudication process is the careful weighing of a number of variables known as the whole-person concept. A sufficient period of a person's life is examined to decide whether the person is an acceptable security risk.

Criminal Conduct

Alcohol Abuse

Married Promotion

Baby

DeployedDeployed FinancialStress

2011201020092005 2006 2007 20082004

Managing Personnel with Clearances/Access to Classified InformationThe Whole-Person Concept

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Although eligibility for access to classified information is predicated upon the individual meeting the adjudicative guidelines, the available, reliable information about the person, past and present, favorable and unfavorable, is considered in reaching a determination.

Managing Personnel with Clearances/Access to Classified InformationAdjudication: Areas of Consideration

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It is your responsibility to report information that falls under the adjudicative guidelines. Although you do not adjudicate, it is valuable to understand the adjudicative process and why it exists.

Adjudicators use six areas of consideration to evaluate an individual’s desire to be responsible and up front, seek help, and resolve a situation positively. To better assist your Soldiers and civilian employees, it is important to understand what adjudicators consider when making eligibility determinations.

• Did the Soldier voluntarily report the information?• Was the Soldier truthful and complete in responding to questions?• Did the Soldier seek assistance and follow professional guidance,

where appropriate?• Did the Soldier resolve or appear likely to favorably resolve the

security concern?• Has the Soldier demonstrated positive changes in behavior and

employment?• Should the Soldier’s access be temporarily suspended pending final

adjudication?

Managing Personnel with Clearances/Access to Classified InformationAdjudication: Conduct Factors

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When information is reported to the CCF, the adjudicators evaluate the relevance of an individual's conduct within the situation. The adjudicators can make a more informed decision when the most reliable information about the individual or event in question is provided. You are in a good position to provide that information since you work with the individual on a daily basis. Therefore, it is valuable for you to understand the conduct factors adjudicators use when making eligibility determinations.

• Nature, extent, and seriousness of the conduct• Circumstances surrounding the conduct, to include knowledgeable

participation• Frequency and recency of the conduct• Individual's age and maturity at the time of the conduct• Extent to which participation is voluntary• Presence or absence of rehabilitation and other permanent

behavioral changes• Motivation for the conduct• Potential for pressure, coercion, exploitation, or duress• Likelihood of continuation or recurrence

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – The Whole-Person Concept

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You are about to follow a conversation between CPL Jones and PFC Smith. PFC Smith will ask a very important question which CPL Jones does not answer. See if you can help him out.


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PFC Smith: I am supposed to be on the new classified effort downstairs, but things may have just changed for me…I mishandled classified information! I reported it, and then went to the 1SG to explain the circumstances, but my clearance was temporarily suspended. This is going to ruin my chances of getting on the new effort!


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CPL Jones: Well, mishandling classified information is a very serious issue, and it is going to be up to the adjudicator…but you did the right thing by self-reporting. Being proactive and reporting yourself can make a big difference. They also look at more than just the details of this incident…they look at your past, as well as, things you may be currently doing to help yourself.


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What term is CPL Jones referring to in describing PFC Smith’s eligibility determination?

A. Adjudicative GuidelinesB. Background InvestigationC. Personnel Conduct WaiverD. Whole-Person Concept


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What term is CPL Jones referring to in describing PFC Smith’s eligibility determination?

A. Adjudicative GuidelinesB. Background InvestigationC. Personnel Conduct WaiverD. Whole-Person Concept

The whole-person concept describes the available, reliable information about a person, past and present, favorable and unfavorable, used to reach an eligibility determination.

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Adjudication: Conduct Factors

When information is reported to the CCF, the adjudicators evaluate the relevance of an individual's conduct within the situation. Why is it valuable for you to understand the adjudication process? A. You can field adjudicate and circumvent the process for your Soldiers or civilian employees.B. You can help your Soldier or civilian employee manipulate the outcome of an adjudication

process.C. You are in a position to assist and advise Soldiers or civilian employees in maintaining

clearances.D. You are able to protect yourself from any punitive actions that may be taken as a result of

the conduct.

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Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Adjudication: Conduct Factors

When information is reported to the CCF, the adjudicators evaluate the relevance of an individual's conduct within the situation. Why is it valuable for you to understand the adjudication process? A. You can field adjudicate and circumvent the process for your Soldiers or civilian employees.B. You can help your Soldier or civilian employee manipulate the outcome of an adjudication

process.C. You are in a position to assist and advise Soldiers or civilian employees in

maintaining clearances.D. You are able to protect yourself from any punitive actions that may be taken as a result of

the conduct.

You are in a position to assist and advise your Soldiers or civilian employees in maintaining clearances. Reporting can be a preventative measure to help an individual maintain eligibility.

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You have finished the Adjudicative Process topic area. Your next topic area is the Continuous Evaluation Program. The learning objectives for this topic are:

• Describe the three sources of personnel reporting essential to maintaining the integrity of the Continuous Evaluation Program.

• Given a series of life events and personal situations, determine which items require an individual to self-report.

Continuous Evaluation Program• Continuous Evaluation Program Overview• Integrity of the Continuous Evaluation Program• Self-Reporting Requirements

Managing Personnel with Clearances/Access to Classified InformationContinuous Evaluation Program Overview

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The Continuous Evaluation Program involves the uninterrupted assessment of a person for security clearance retention or continuing assignment to sensitive duties.

This program helps to ensure high standards of conduct and that questionable conduct or activities are promptly reported for further assessment.

Managing Personnel with Clearances/Access to Classified InformationContinuous Evaluation Program Overview

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The Continuous Evaluation Program also includes periodic reinvestigations at given intervals based on an individual’s duties and clearance level.

• Individuals in Special or Critical Sensitive positions that have access to Top Secret information and/or special access programs are reinvestigated every five years.

• Individuals in Non-Critical Sensitive positions or access to Secret information are reinvestigated every 10 years.

• Individuals with access to Confidential information are reinvestigated every 15 years.

Managing Personnel with Clearances/Access to Classified InformationIntegrity of the Continuous Evaluation Program

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Once the initial adjudication has been made and an individual is assigned to a sensitive position or given access to classified information, that person will fall under the Continuous Evaluation Program.

The Continuous Evaluation Program’s integrity relies on three reporting groups: supervisors, co-workers, and individuals. For the program to be effective, each group must report derogatory information when it first becomes known through their chain of command to the S2 or Security Manager.


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Individual Reporting:

Self-reporting, while mandatory, emphasizes personal integrity and is preferable to the incident or change being discovered and reported by others.

Reasons an individual may not report security concerns include fear of:

• Disciplinary action• Clearance loss• Job loss• Discharge• Embarrassment (wants to maintain privacy)


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Co-Worker Reporting:

Co-workers usually have the most interaction with others and are in a position to see, hear, or experience a personnel security concern.

Reasons a co-worker may not report security concerns include:

• A similar concern in his or her own life• Participation in a situation (avoiding attention on

oneself)• A friendly peer relationship with the individual• Fear of retribution


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Supervisor Reporting:

Members of the Command Team are responsible for identifying and reporting security concerns at an early stage since they are usually the first to know of a problem. Their consistent interaction with the Soldiers or civilian employees allows them to notice abnormal work performance and changes in behavior.

Reasons a member of the Command Team may not report security concerns include:

• Determining an outcome through field adjudication• Avoiding damaging a record with a negative report• Impacting the individual's career negatively• Believing an incident will not reoccur (a non-issue)

Managing Personnel with Clearances/Access to Classified InformationSelf-Reporting Requirements

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Soldiers or civilian employees who occupy positions of trust and handle sensitive and/or classified information are expected to report changes or incidents that may impact their clearances. Therefore, you play a critical role in helping your Soldiers or civilian employees maintain their clearances by assisting them on the life events or situations that need to be reported.


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Change in Personal Status:

• Marital status to a foreign national (marriage, divorce, or engagement)• Cohabitation with a foreign national (spouse-like or intimate relationship)• Name change


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Foreign Travel:

• Obtain a foreign travel security briefing before any foreign travel (personal, business).• Report anticipated foreign travel to immediate supervisors and local Security Manager or Special

Security Officer (SSO).• Upon return, report any unusual incidents to your local Security Manager or SSO.


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Foreign Contacts:

• Contact with individuals of any foreign nationality (within or outside the scope of official duties), in which illegal or unauthorized access to classified or otherwise sensitive information is sought

• Personal concerns that you are a target of an attempted exploitation• Close and continuing relationships between SCI-indoctrinated individuals and foreign nationals

Note: Casual contacts and associations arising from living in a community normally need not be reported.


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Loss or Compromise of Information:

Inadvertent or accidental loss or compromise of classified information to minimize any damage and eliminate any conditions that might cause further compromises


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Financial Problems:

• Filing for bankruptcy• Wage garnishment• Consistent spending beyond one’s means• Property lien• Eviction• Inability to meet financial obligations• Failure to file annual federal, state, or local income tax returns as required


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Arrests:

• Any arrest (regardless of charges being filed)• Other involvement with the legal system (being sued)• Traffic violations with fines of $300 or greater


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Psychological or Substance Abuse Counseling:

When counseling is needed, you are encouraged to seek assistance from your employer-sponsored Employee Assistance Program or other appropriate counseling services. If the counseling was strictly for marital, family, or grief not related to violence by you, or adjustments from service in a military combat environment and was not court ordered, it is not necessary to report it. Counseling must be reported if you were advised to seek counseling because of work performance or other undesirable behavior. No negative inference may be raised solely on the basis of seeking mental health counseling.


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Outside Activities:

• Outside employment or activity when it poses a conflict of interest with an individual's security responsibilities and could create an increased risk of unauthorized disclosure of classified information

• Any employment or service, whether compensated or volunteer, with the government of a foreign country; any foreign national, organization, or other entity; a representative of any foreign interest; any foreign, domestic, or international organization or person engaged in analysis, discussion, or publication of material on intelligence, defense, foreign affairs, or protected technology

• Failure to report or fully disclose an outside activity when this is required


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Media Contacts:

• Media inquiries about your job or organization• Ongoing personal contact with media representatives covering your organization or subject


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Pre-Publication Review:

The following items must be cleared in advance if they contain information or knowledge gained during current or previous jobs:

• Technical paper, book, magazine article, or newspaper article prepared for publication or posting online

• Lecture or speech

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Continuous Evaluation Program

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The Continuous Evaluation Program involves the uninterrupted assessment of a person for security clearance retention or continuing assignment to sensitive duties. This program helps to ensure high standards of conduct and that questionable conduct or activities are promptly reported for further assessment. What three reporting groups determine the integrity and success of the Continuous Evaluation Program?

A. Command Team MembersB. Adjudicators, Security Managers, and SupervisorsC. Security Managers, Supervisors, and Co-WorkersD. Supervisors, Co-Workers, and Individuals

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Continuous Evaluation Program

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The Continuous Evaluation Program involves the uninterrupted assessment of a person for security clearance retention or continuing assignment to sensitive duties. This program helps to ensure high standards of conduct and that questionable conduct or activities are promptly reported for further assessment. What three reporting groups determine the integrity and success of the Continuous Evaluation Program?

A. Command Team MembersB. Adjudicators, Security Managers, and SupervisorsC. Security Managers, Supervisors, and Co-WorkersD. Supervisors, Co-Workers, and Individuals

The Continuous Evaluation Program’s integrity relies on three reporting groups: supervisors, co-workers, and individuals. For the program to be effective, each group must report derogatory information when it first becomes known through their chain of command to the S2 or Security Manager.

Managing Personnel with Clearances/Access to Classified InformationCheck on Learning – Self-Reporting Requirements

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As a member of the Command Team, you are required to report personnel security concerns. Five Soldiers or civilian employees will come into your office to report various situations. For this activity, decide if the situations require reporting.


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PVT Moore: I keep my network passwords written in a notebook so I don’t forget them. I went to the gym to play basketball with some friends and locked the notebook inside a locker. When I returned, I discovered the locker had been pried open and all of my belongings, including the notebook, were missing. Since someone stole the notebook, it can’t be my fault. Does this situation require self-reporting?


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PVT Moore: I keep my network passwords written in a notebook so I don’t forget them. I went to the gym to play basketball with some friends and locked the notebook inside a locker. When I returned, I discovered the locker had been pried open and all of my belongings, including the notebook, were missing. Since someone stole the notebook, it can’t be my fault. Does this situation require self-reporting? Yes, this situation falls into the Loss or Compromise of Information self-reporting requirement. Since you correctly advised PVT Moore to self-report, he was provided the appropriate security training and, as a result, took preventative measures from this situation reoccurring; thus, no unauthorized disclosures will take place.


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SGT Wilson: I’ve been an intelligence analyst for the past 10 years. I also work part-time as a contributor and editor of the American section of a renowned foreign publication on the world’s latest armored track vehicles. I took three aerial surveillance photographs showing construction of a foreign government’s prototype tank from a coworker's desk. I sent these photographs to the publication because I believe the American public will help increase the U.S. defense budget if they know what we are really up against. Does this situation require self-reporting?


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SGT Wilson: I’ve been an intelligence analyst for the past 10 years. I also work part-time as a contributor and editor of the American section of a renowned foreign publication on the world’s latest armored track vehicles. I took three aerial surveillance photographs showing construction of a foreign government’s prototype tank from a coworker's desk. I sent these photographs to the publication because I believe the American public will help increase the U.S. defense budget if they know what we are really up against. Does this situation require self-reporting? Yes, this situation falls into the Outside Activities self-reporting requirement. Involvement in certain types of outside employment or activities is of security concern if it poses a conflict of interest with an individual's security responsibilities and creates an increased risk of unauthorized disclosure of classified information; therefore, SGT Wilson does need to report his activities. If you are uncertain if an outside activity may be of concern, seek the advice of your Security Manager.


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PFC Robinson: I am from a very small town where everyone knows everyone. After high school, a few of my friends and I enlisted. We all recently returned from a deployment and our local newspaper wants to run an article on what it is like being friends and deployed together. They have asked me for some pictures and captions to put into the article too. Does this situation require self-reporting?


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PFC Robinson: I am from a very small town where everyone knows everyone. After high school, a few of my friends and I enlisted. We all recently returned from a deployment and our local newspaper wants to run an article on what it is like being friends and deployed together. They have asked me for some pictures and captions to put into the article too. Does this situation require self-reporting? Yes, this situation falls into the Pre-Publication Review self-reporting requirement. Since you correctly advised PFC Robinson to self-report, she received a pre-publication review and did not disclose classified information.


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Mr. Taylor: Last week I received a DUI on my way home from a party. It was a weekend, and I’m a civilian contractor, so I don’t think this is too important. Does this incident require self-reporting?


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Mr. Taylor: Last week I received a DUI on my way home from a party. It was a weekend, and I’m a civilian contractor, so I don’t think this is too important. Does this incident require self-reporting? Yes, this situation falls into the Arrests self-reporting requirement. It is important to remember that Soldiers and civilian employees must self-report incidents. Mr. Taylor must face the consequences of being arrested. He may also receive alcohol abuse counseling that could help him make better decisions in the future.


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Ms. Lee: I have been visiting family in China for the past few years now. During those trips, I met someone and we have stayed connected the best we can. My last visit was quite a surprise; he proposed! I will be getting married in a little less than a year. Does this situation require self-reporting?


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Ms. Lee: I have been visiting family in China for the past few years now. During those trips, I met someone and we have stayed connected the best we can. My last visit was quite a surprise; he proposed! I will be getting married in a little less than a year. Does this situation require self-reporting? Yes, this situation falls into the Change in Personal Status self-reporting requirement. Since you correctly advised Ms. Lee to self-report, the Security Manager was aware of the situation. It is important to remember that self-reporting, while mandatory, emphasizes personal integrity and is preferable to the incident or change being discovered and reported by others.


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You have finished the Continuous Evaluation Program topic area. Next, you will complete a Practical Exercise to review all the topic areas covered in this training.

In this Practical Exercise, you will act as a First Sergeant and have a conversation with four members in your company. In each conversation, choose responses that best handle the situation presented.

After each conversation, you will receive feedback based on your decisions. The exercise ends after you visit all four individuals.

Managing Personnel with Clearances/Access to Classified InformationPractical Exercise

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You: SGT Thomas, I just received a call from a creditor and wanted to ask you about it. What is going on?

SGT Thomas: I apologize for that 1SG! I just got off the phone with the creditors and talked through some things…I also haven’t been feeling myself lately.


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You: Why haven’t you been feeling yourself?

SGT Thomas: My financial situation has brought in so much stress to my life…it’s all I can think about! I’ve even tried taking my husband’s prescription medication to calm down. Nothing seems to work for me though. Do I need to report this to someone?

A. No, this isn’t something you self-report.B. Yes, this is something you self-report.


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You: Why haven’t you been feeling yourself?

SGT Thomas:. My financial situation has brought in so much stress to my life…it’s all I can think about! I’ve even tried taking my husband’s prescription medication to calm down. Nothing seems to work for me though. Do I need to report this to someone?


You have given SGT Thomas correct advice on reporting the use of her husband’s prescription medication. The Drug Involvement adjudicative guideline addresses misuse (use other than as prescribed), inappropriate possession, or inappropriate acquisition of prescription medication. SGT Thomas’ actions may be an indicator she is in need of help and reporting her to the Security Manager is your responsibility.


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You: Can you help me understand your financial situation?

SGT Thomas: I have missed several car payments and the creditors are now involved. I told them I only needed one more week, so everything is fine. Do I need to report this to someone?



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You: Can you help me understand your financial situation?

SGT Thomas: I have missed several car payments and the creditors are now involved. I told them I only needed one more week, so everything is fine. Do I need to report this to someone?


You have also given SGT Thomas correct advice on reporting her financial difficulties. The Financial Considerations adjudicative guideline addresses living or spending beyond one’s means, calls at work from creditors, and indications of financial difficulties.


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You: Ms. Williams, it was brought to my attention that you are discussing our classified project with your personal friends.

Ms. Williams: Who told you that!?

You: That isn’t important, but I do need to ask you about it.

Ms. Williams: Well, I don’t appreciate you approaching me with an allegation…can we discuss this later?

Practical Exercise


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You: Do you know anything about this?

Ms. Williams: Clearly this is an allegation made by someone in this office! You wouldn’t report an allegation, would you?

A. No, I wouldn’t report an allegation.B. Yes, I would report an allegation.

Practical Exercise


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You: Do you know anything about this?

Ms. Williams: Clearly this is an allegation made by someone in this office! You wouldn’t report an allegation, would you?

A. No, I wouldn’t report an allegation.B. Yes, I would report an allegation.

You correctly identified your responsibility to report an allegation. Command Teams are responsible for reporting security incidents, as well as allegations that they may encounter which fall in line with the adjudicative guidelines. If a situation occurs which indicates an individual has vulnerabilities of a security concern or that an individual is in need of assistance, then the Command Team must report it.

Practical Exercise


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You: Is it true or not?

Ms. Williams: Well, I’m a civilian. So, it wouldn’t matter even if it were true.

A. You’re right. I forgot you made that transition last year.

B. If it were true, the rules apply to you too. I would have to report it.

Practical Exercise


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You: Is it true or not?

Ms. Williams: Well, I’m a civilian. So, it wouldn’t matter even if it were true.

A. You’re right. I forgot you made that transition last year.

B. If it were true, the rules apply to you too. I would have to report it.

You also correctly identified your responsibility to report a civilian. Command Teams must report derogatory information and situations to their S2 or Security Manager which indicate concern for all Soldiers or civilian employees (to include contractors), with or without clearances, under their authority.

Practical Exercise


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Practical Exercise

You: CPL Smith, I’ve noticed you leave the office a few hours early every Friday. Why?

CPL Smith: I really like to get a jump on the weekend. I also get my work done early, so there is not much for me to do.

You: We are all required to work a full day and I am concerned you are deciding to leave early.

CPL Smith: I really didn’t think it was a problem…I don’t see an issue with taking off early on a Friday.

A. We all need to put in our time. Please don’t let it happen again.

B. I’m going to have to report this to the Security Manager.


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Practical Exercise

You: CPL Smith, I’ve noticed you leave the office a few hours early every Friday. Why?

CPL Smith: I really like to get a jump on the weekend. I also get my work done early, so there is not much for me to do.

You: We are all required to work a full day and I am concerned you are deciding to leave early.

CPL Smith: I really didn’t think it was a problem…I don’t see an issue with taking off early on a Friday.

A. We all need to put in our time. Please don’t let it happen again.

B. I’m going to have to report this to the Security Manager.

You are correct! Leaving work early is a performance-based concern and is only reportable to the Security Manager when it rises to the level of a security concern. Normally, someone leaving work early would be treated as a personnel issue.


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Practical Exercise

You: SSG Davis, you said you needed to speak with me?

SSG Davis: My husband and I decided to celebrate our 5th anniversary by taking a vacation. I have always wanted to backpack Europe, and he has always wanted to relax on the Mediterranean. So, we are taking off two weeks!


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Practical Exercise

You: How can I help you get ready?

SSG Davis: Well, I think I have everything in order. Is this something I need to report?



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Practical Exercise

You: How can I help you get ready?

SSG Davis: Well, I think I have everything in order. Is this something I need to report?


You are correct in recommending that SSG Davis self-report her Foreign Travel. Since you correctly advised SSG Davis to self-report, the Security Manager was aware of her travel and the proper protocol may be taken before she leaves the U.S. It is important to remember that your role as a member of the Command Team is to help your Soldiers or civilian employees maintain their clearances.

Managing Personnel with Clearances/Access to Classified InformationWelcome

Congratulations! You have completed the Managing Personnel with Clearances/Access to Classified Information training. This training has demonstrated your reporting

responsibilities for personnel security and insider threat concerns as part of the Continuous Evaluation Program for security clearance retention.

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