DOD MANUAL 5200
DOD MANUAL 5200.02PROCEDURES FOR THE DOD PERSONNELSECURITY PROGRAM (PSP)Originating Component:Office of the Under Secretary of Defense for Intelligence and SecurityEffective:Change 1 Effective:April 3, 2017October 29, 2020Releasability:Cleared for public release. Available on the Directives Division Websiteat https://www.esd.whs.mil/DD/.Incorporates and Cancels: DoD 5200.2-R, “Personnel Security Program,” January 1987Under Secretary of Defense for Intelligence Memorandum, “MinimumRequirements for Interim Eligibility to Access Secret and ConfidentialInformation,” January 17, 2014Approved by:Todd R. Lowery, Performing the Duties of the Under Secretary of Defensefor IntelligenceChange 1 (Administrative)Approved by:Christopher R. Choate, Chief, Directives DivisionPurpose: 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 forthe DoD PSP. This issuance: Assigns responsibilities and prescribes procedures for investigations of individuals seeking to holdnational security positions or perform national security duties who are required to complete StandardForm (SF) 86, “Questionnaire for National Security Positions,” for personnel security investigations(PSIs). Sets procedures for DoD PSP national security eligibility for access determinations; personnelsecurity actions; continuous evaluation (CE); and security education requirements for employeesseeking eligibility for access to classified information or to hold a sensitive position (referred to in thismanual as “national security eligibility”). Prescribes procedures for administrative due process for employees. Administrative due process forcontractor personnel is governed by DoDD 5220.6.
DoDM 5200.02, April 3, 2017Change 1, October 29, 2020TABLE OF CONTENTSSECTION 1: GENERAL ISSUANCE INFORMATION . 51.1. Applicability. . 51.2. Information Collections. . 51.3. Summary of Change 1. . 5SECTION 2: RESPONSIBILITIES . 62.1. Under Secretary of Defense for Intelligence and Security (USD(I&S)). . 62.2. Director, Defense Intelligence (Intelligence and Security) (DDI&I&S)). . 72.3. Director, Defense Security Service (DSS). . 72.4. GC DoD. . 82.5. Director, Defense Office of Hearings and Appeals (DOHA). . 82.6. Under Secretary of Defense for Personnel and Readiness (USD(P&R)). . 82.7. Director, Department of Defense Human Resources Activity (DoDHRA). . 82.8. Under Secretary of Defense for Acquisition, Technology, and Logistics(USD(AT&L)). . 92.9. Director, Washington Headquarters Services (WHS). . 92.10. DoD Component Heads. . 92.11. Heads of DoD IC Elements. 112.12. Secretary of the Air Force. . 12SECTION 3: NATIONAL SECURITY INVESTIGATIONS . 133.1. General. . 133.2. Federal Investigative Standards (FIS). . 133.3. Investigative Requirements. . 133.4. Polygraph. . 143.5. Post-Adjudicative Inquiries. . 143.6. Reinvestigations. . 14SECTION 4: SPECIFIC INVESTIGATIVE REQUIREMENTS BY POPULATION . 174.1. Civilian Personnel. . 174.2. Military Personnel. . 204.3. Contractors. . 204.4. Consultants and Grantees of a DoD Component. . 204.5. Non-U.S. Citizens Employed Overseas in Support of National Security Positions. . 204.6. Temporary Employees. . 214.7. Wounded Warrior Security and Intelligence Internship Program (WWSIIP). . 214.8. Retired General or Flag Officer (GO/FO) or Civilian Equivalent. . 224.9. Red Cross and United Service Organization (USO) Personnel. . 224.10. Persons Outside the Executive Branch. . 23SECTION 5: INVESTIGATIVE REQUESTS . 255.1. General. . 255.2. Authorized Requestors. . 255.3. Limitations and Restrictions for Submitting Investigations. . 255.4. Processing Investigative Forms. . 265.5. Temporary (or Interim) National Security Eligibility. . 295.6. One-Time or Short Duration Access. 29TABLE OF CONTENTS2
DoDM 5200.02, April 3, 2017Change 1, October 29, 20205.7. Accountability of Personnel Security Reports and Records. . 295.8. Subject Request for PSI Report. . 305.9. Records Disposition. . 30APPENDIX 5A: RECIPROCITY . 325A.1. General. . 325A.2. Verify Eligibility. . 335A.3. Exceptions to Reciprocity. . 335A.4. Annotating Reciprocal Determinations. . 345A.5. Additional Reciprocity Guidance for SCI Access. . 345A.6. Reciprocity for the Nuclear Regulatory Commission and the DOE. . 34SECTION 6: LAA FOR NON-U.S. CITIZENS . 356.1. General. . 356.2. Conditions for LAA. . 356.3. Investigative Requirements. . 366.4. Authorized Access Levels. 366.5. Unauthorized Access Levels. . 376.6. Request Procedures. . 376.7. LAA Determination Authority. . 38SECTION 7: NATIONAL SECURITY ADJUDICATIONS . 397.1. General. . 397.2. Adjudication Authorities. . 397.3. Prohibition on Retaliation by Affecting Eligibility for Access to ClassifiedInformation. . 407.4. Adjudicative Guidelines. 407.5. Electronic Adjudication (E-Adjudication). . 407.6. Adjudication of National Security Cases. . 407.7. DoD Case Management and Adjudication Tracking Systems. . 417.8. Documenting Adjudications. . 417.9. Personnel Performing Adjudicative Functions. . 417.10. SCI Adjudication. . 427.11. SAP Adjudication. . 437.12. Polygraph and Credibility Assessment Procedures. . 437.13. Adjudication Timelines. . 437.14. Duration of Security Eligibility and Access Determinations. . 437.15. Determining Eligibility with Conditions. . 447.16. Interim Eligibility. 44APPENDIX 7A: DETERMINATION AUTHORITIES . 477A.1. Officials Authorized to Grant, Deny, Revoke, or Suspend National SecurityEligibility. . 477A.2. Officials Authorized to Suspend Access to Classified Information. . 477A.3. Officials Authorized to Grant, Deny, or Revoke LAA. . 487A.4. Final Determinations. . 48APPENDIX 7B: SPECIAL CIRCUMSTANCES . 497B.1. Adherence to Federal Laws. . 497B.2. Adherence to Federal Laws Prohibiting Marijuana Use. . 49TABLE OF CONTENTS3
DoDM 5200.02, April 3, 2017Change 1, October 29, 20207B.3. Prohibition for all Security Clearances (The “Bond Amendment Prohibition”). . 49APPENDIX 7C: ADJUDICATION OF INCOMPLETE NATIONAL SECURITY INVESTIGATIONS . 527C.1. General. . 527C.2. Factors to Consider. 52SECTION 8: ACCESS DETERMINATIONS . 548.1. Access to Classified Information. . 548.2. One-Time or Short Duration Access. 548.3. Special Cases. . 55SECTION 9: PERSONNEL SECURITY ACTIONS. 569.1. General. . 569.2. Referal of Derogatory Information for Action. 569.3. Loss of Jurisdiction. . 579.4. Suspension of National Security Eligibility or Access. . 57SECTION 10: APPEAL PROCESS . 5910.1. General. . 5910.2. Minimum Due Process Requirements Applicable to All. . 5910.3. Specific Procedures for Contractor Employees. . 6010.4. Specific Procedures for Civilian Employees and Military Members. . 6010.5. Recording Final Determinatinos. . 6310.6. Reconsideration. 6310.7. Reinstatement of Civilian Employees. . 65APPENDIX 10A: PSAB STRUCTURE AND FUNCTIONING. 66APPENDIX 10B: PERSONAL APPEARANCES BEFORE DOHA. 67SECTION 11: CE AND REPORTING REQUIREMENTS. 6911.1. General. . 6911.2. CE Responsibilities. . 70a. Commanders, DoD Component Heads, Directors, Supervisors, and SecurityProfessionals’ Responsibilities. . 70b. Employee Responsibilities. . 72c. Individual Responsibilities. . 7211.3. Additional Reporting Requirements for Individuals with Access to SCI Information. 7311.4. Financial Disclosure. 7311.5. Post-Adjudication Issues. . 73SECTION 12: EDUCATION, TRAINING, AND PROFESSIONAL CERTIFICATION . 7412.1. Education and Training Requirements. 7412.2. APC Program. . 75GLOSSARY . 76G.1. Acronyms. . 76G.2. Definitions. . 78REFERENCES . 85TABLESTable 1. PPR Disqualification. 16TABLE OF CONTENTS4
DoDM 5200.02, April 3, 2017Change 1, October 29, 2020SECTION 1: GENERAL ISSUANCE INFORMATION1.1. APPLICABILITY. This issuance applies to OSD, the Military Departments, the Office ofthe Chairman of the Joint Chiefs of Staff and the Joint Staff, the National Guard Bureau, theCombatant Commands, the Office of Inspector General of the Department of Defense, theDefense Agencies, the DoD Field Activities, and all other organizational entities within the DoD(referred to collectively in this issuance as the “DoD Components”).1.2. INFORMATION COLLECTIONS.a. The PSP policy and procedures assessments, referred to in Paragraph 2.2.d of this manual,does not require licensing with a report control symbol in accordance with Paragraph 1b(9) ofSection 3 to Volume 1 of DoD Manual 8910.01.b. Annual DoD PSI Projections Report, referred to in Paragraph 2.10.c of this manual, hasbeen assigned report control symbol DD-INT(A)2641 in accordance with the procedures inVolume 1 of DoD Manual 8910.01.c. The Inspector General reports, referred to in Paragraph 2.10.q of this manual, do notrequire licensing with a report control symbol in accordance with Paragraph 1b(6) of Section 3 toVolume 1 of DoD Manual 8910.01.d. The annual limited access authorization (LAA) Summary Report, referred to in Paragraph6.1.c. of this manual, has been assigned report control symbol DD-INT(A)2642 in accordancewith the procedures in Volume 1 of DoD Manual 8910.01.e. The Bond Amendment Waiver Report, referred to in Paragraph 7B.3.e. of this manual,does not require licensing with a report control symbol in accordance with Paragraph 1b(16) ofSection 3 to Volume 1 of DoD Manual 8910.01.1.3. SUMMARY OF CHANGE 1. This administrative change updates:a. The title of the Under Secretary of Defense for Intelligence to the Under Secretary ofDefense for Intelligence and Security in accordance with Public Law 116-92.b. Additional organizational changes reflecting direction in statute or Secretary and DeputySecretary of Defense direction.c. Administrative changes in accordance with current standards of the Office of the ChiefManagement Officer of the Department of DefenseSECTION 1: GENERAL ISSUANCE INFORMATION5
DoDM 5200.02, April 3, 2017Change 1, October 29, 2020SECTION 2: RESPONSIBILITIES2.1. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE AND SECURITY(USD(I&S)). The USD(I
legal sufficiency of DoD personnel security policy and procedures, in accordance with DoDI 5145.03. e. Oversees DoD national security investigations, adjudications, and access determinations pursuant to Executive Order (E.O.) 12968 and national security adjudicative guidelines in the
The US DoD has two PKI: DoD PKI is their internal PKI; DoD ECA PKI is the PKI for people outside of the DoD [External Certification Authority] who need to communicate with the DoD [i.e. you]. Fortunately, the DoD has created a tool for Microsoft to Trust the DoD PKI and ECA PKI; the DoD PKE InstallRoot tool.File Size: 1MBPage Count: 10
The DoD PKI consists of the US DoD issuing certificates internally to US DoD end entities (like DoD employees and DoD web sites). The ECA PKI consists of vendors that are authorized by the US DoD to issue certificates to end entities outside of the US DoD that need to communicate with the DoD. You probably need to trust both the DoD PKI and ECA .
(a)) and DoD Instruction (DoDI) 5200.01 (Reference (b)), is to reissue DoD 5200.1-R (Reference (c)) as a DoD manual (DoDM) to implement policy, assign responsibilities, and provide procedures for the designation, marking, protection, and dissemination of controlled
(a)) and DoD Instruction (DoDI) 5200.01 (Reference (b)), is to reissue DoD 5200.1-R (Reference (c)) as a DoD Manual to implement policy, assign responsibilities, and provide procedures for the designation, marking, protection, and dissemination of CUI and classified
DoDM 5200.01-V1, February 24, 2012 ENCLOSURE 1 REFERENCES (a) DoD Directive 5143.01, “Under Secretary of Defense for Intelligence (USD(I)),” November 23, 2005 (b) DoD Instruction 5200.01, “DoD Information Security Program and Protection of Sensitive Compartmented Information,” October 9, 2008
DoD NOTAM Manager User's Guide can be accessed by selecting the Help tab. (For details, see Page 45) 4 CHAPTER 2 OVERVIEW OF DOD NOTAM MANAGER 1. DoD NOTAM Manager . the policy and business rules outlined in Advisory Circular 150/5200-28D, Advisory Circular 150/5200-30C, and FAA Order 7930.2. 11. Digital Scenarios/Templates Concept
This Pamphlet is reissued under the authority of DoD Directive 5200.1, “Information Security Program,” December 13, 1996. It prescribes guidance through examples, on the markings for classified national security information. It supersedes the 1982, 5200.1-PH guide.
5721.1B SPAWAR Section 508 Implementation Policy, 17 Nov 09 t. DoDM 5200.01 DoD Manual Information Security Program dtd 24 Feb 12 u. DoD 5220.22-M DoD Manual National Industrial Security Program Operating Manual (NISPOM) dtd 28 Feb 06 v. DoDI 5220.22 DoD Instruction National Industrial Security Program dtd 18 Mar 11 w. DoD 8570.01-M
