Index

Department of Defense

DIRECTIVE

NUMBER 5200.2

April 9, 1999

ASD(C3I)

SUBJECT:  DoD Personnel Security Program 

References:  (a)  DoD Directive 5200.2, subject as above,
May 6, 1992 (hereby canceled)

(b)  Executive Order 12968, "Access to Classified Information,"
August 2, 1995

(c)  Section 781 of title 50, United States Code

(d)  Sections 831 through 835 of title 50, United States
Code

(e)  Executive Order 10450, "Security Requirements for
Government Employment," April 27, 1953

(f)  Executive Order 12958, "Classified National Security
Information," April 17, 1995

(g)  through (q), see enclosure 1

1.  REISSUANCE AND PURPOSE 

This Directive:

1.1.  Reissues reference (a) to update the policy and
responsibilities for the DoD Personnel Security Program
under references (b) through (h).

1.2.  Continues to authorize the publication of DoD
5200.2-R (reference (i)) in accordance with DoD 5025.1-M
(reference (j)).

2.  APPLICABILITY 

This Directive applies to:

2.1.  The Office of the Secretary of Defense, the Military
Departments (including the Coast Guard when it is operating
as a Military Service in the Navy), the Chairman of
the Joint Chiefs of Staff, the Combatant Commands, the
Inspector General of the Department of Defense, the
Defense Agencies, and the DoD Field Activities (hereafter
referred to collectively as "the DoD Components").

2.2.  DoD civilian personnel, members of the Armed Forces
(excluding the Coast Guard in peacetime), contractor
personnel and other personnel affiliated with the Department
of Defense.   Except that the unfavorable administrative
action procedures pertaining to contractor personnel
requiring access to classified information are contained
in DoD 5220.22-R (reference (k)) and in DoD Directive
5220.6 (reference (l)).

3.  POLICY 

It is DoD policy that:

3.1.  The objective of the personnel security program
is that military, civilian, and contractor personnel
assigned to and retained in sensitive positions, in
which they could potentially damage national security,
are and remain reliable and trustworthy, and there is
no reasonable basis for doubting their allegiance to
the United States.

3.2.  No person shall be appointed or retained as a
civilian employee in a sensitive position of the Department
of Defense, as provided in reference (e), accepted for
entrance into the Armed Forces of the United States,
or assigned to duties that require a personnel security
investigation as provided in 3.9., below, unless such
appointment, acceptance, or assignment is clearly consistent
with the interests of national security.

3.3.  No person shall be deemed to be eligible for access
to classified information unless such access is clearly
consistent with the interests of national security as
provided for in reference (b).   Eligibility for access
shall not be granted merely by reason of Federal service
or contracting, licensee, certificate holder, or grantee
status, or as a matter of right or privilege, or as
a result of any particular title, rank, position, or
affiliation.

3.4.  Except as provided in 3.6., below, eligibility
for access to classified information or assignment to
sensitive duties shall be granted only to individuals
who are United States citizens for whom an appropriate
investigation has been completed and whose personal
and professional history affirmatively indicates loyalty
to the United States, strength of character, trustworthiness,
honesty, reliability, discretion, and sound judgment,
as well as freedom from conflicting allegiances and
potential for coercion, and willingness and ability
to abide by regulations governing the use, handling,
and protection of classified information.   However,
in exceptional circumstances where official functions
must be performed prior to completion of the investigative
and adjudication process, temporary eligibility for
access to classified information may be granted to an
individual.

3.5.  A determination of eligibility for access to classified
information or assignment to sensitive duties is a discretionary
security decision based on judgments by appropriately
trained adjudicative personnel.

3.6.  As an exception, a non-U.S. citizen may be assigned
to sensitive duties or granted a Limited Access Authorization
for access to classified information in support of a
specific DoD program, project, or contract that cannot
be filled by a cleared or clearable U.S. citizen provided
it is approved by an authorized official (as specified
in DoD 5200.2-R, reference (i)).

3.7.  In determining eligibility for access to classified
information, the Department of Defense may investigate
and consider any matter that relates to the determination
of whether access is clearly consistent with the interests
of national security.   No inference concerning the
standard in subsection 3.4., above, may be raised solely
on the basis of the sexual orientation of the individual.

3.8.  No negative inference may be raised solely on
the basis of mental health counseling.   Such counseling
can be a positive factor in eligibility determinations.
  However, mental health counseling, where relevant
to the adjudication of access to classified information,
may justify further inquiry to determine whether the
standards of subsection 3.4., above, are satisfied,
and mental health may be considered where it directly
relates to those standards.

3.9.  DoD 5200.2-R (reference (i)) shall identify those
positions and duties that require a personnel security
investigation (PSI).   A PSI is required for:

3.9.1.  Appointment to a sensitive civilian position.

3.9.2.  Entry into military service.

3.9.3.  The granting of a security clearance or approval
for access to classified information.

3.9.4.  Assignment to other duties that require a personnel
security or trustworthiness determination.

3.9.5.  Continuing eligibility for retention of a security
clearance and approval for access to classified information
or for assignment to other sensitive duties.

3.10.  Reference (i) shall contain personnel security
criteria and adjudicative guidance to assist in determining
whether an individual meets the clearance and sensitive
position standards referred to in subsections 3.2. and
3.4., above.

3.11.  No unfavorable personnel security determination
shall be made except in accordance with procedures set
forth in reference (i); Director of Central Intelligence
Directive 1/14 (DCID 1/14) (reference (m)); DoD Directive
5220.6 (reference (l)) or as otherwise authorized by
law.

4.  RESPONSIBILITIES 

4.1.  The Assistant Secretary of Defense for Command,
Control, Communications, and Intelligence shall:

4.1.1.  Serve as the Department of Defense Senior Agency
Official for the Personnel Security Program under Section
6.1(a) of E.O. 12968, reference (b) and Special Access
Programs under Section 5.6(c)(1) of E.O. 12958, reference
(f).

4.1.2.  Direct, administer, and oversee the DoD Personnel
Security Program to ensure that the program is consistent,
cost-effective, and efficient, and balances the rights
of individuals with the interests of national security.

4.1.3.  Approve, when appropriate, requests for exceptions
to the DoD Personnel Security Program, except for access
to NATO classified information.   Requests for exceptions,
which involve access to NATO classified information
shall be sent to the Deputy Undersecretary of Defense
(Policy) for Policy Support.

4.1.4  Issue and maintain reference (i), consistent
with DoD 5025.1-M (reference (j)).

4.1.5.  Ensure that research is conducted to assess
and improve the effectiveness of the DoD Personnel Security
Program (DoD Directive 5210.79 (reference (n)).

4.1.6.  Ensure that the Defense Security Service (DSS)
is operated pursuant to DoD Directive 5105.42 (reference
(o)).

4.1.7  Ensure that the DSS provides the education, training,
and awareness support to the DoD Personnel Security
Program under DoD Directive 5200.32 (reference (p)).

4.1.8  Ensure that the personnel security program at
the National Security Agency (NSA) is consistent with
the requirements of 50 U.S.C. Sections 831-835 (reference
(d) and reference (m)).

4.2.  The General Counsel of the Department of Defense
shall:

4.2.1.  Be responsible for providing advice and guidance
as to the legal sufficiency of procedures and standards
implementing the DoD Personnel Security Program.

4.2.2.  Exercise oversight of personnel security program
appeals procedures to verify that the rights of individuals
are being protected consistent with the Constitution,
laws of the United States, Executive orders, Directives,
or Regulations that implement the DoD Personnel Security
Program, and with the interests of national security.

4.2.3.  Perform such functions relating to the DoD Personnel
Security Program in accordance with DoD Directive 5145.1
(reference (q)) as the Secretary or Deputy Secretary
of Defense may assign.

4.3.  The Heads of the DoD Components shall:

4.3.1.  Designate a senior official who shall be responsible
for implementing the DoD Personnel Security Program
within their Components.

4.3.2.  Ensure that the DoD Personnel Security Program
is properly administered under this Directive within
their Components.

4.3.3.  Ensure that information and recommendations
on any aspect of this Directive and the DoD Personnel
Security Program are provided to the Assistant Secretary
of Defense for Command, Control, Communications, and
Intelligence.

5.  EFFECTIVE DATE 

This Directive is effective immediately.

Enclosures - 1 

1.  References, continued

E1.  ENCLOSURE 1

REFERENCES, continued

(g)  Executive Order 10865, "Safeguarding Classified
Information Within Industry," February 20, 1960

(h)  Executive Order 12333, "United States Intelligence
Activities," December 4, 1981

(i)  DoD 5200.2-R, "Personnel Security Program," January
1987, authorized by this Directive

(j)  DoD 5025.1-M, "Department of Defense Directives
System Procedures," August 1994, authorized by DoD Directive
5025.1, June 24, 1994

(k)  DoD 5220.22-R, "Industrial Security Regulation,"
December 4, 1985, authorized by DoD Directive 5220.22,
December 8, 1980

(l)  DoD Directive 5220.6, "Defense Industrial Personnel
Security Clearance Review Program," January 2, 1992

(m)  Director of Central Intelligence Directive 1/14,
"Personnel Security Standards and Procedures Governing
Eligibility for Access to Sensitive Compartmented Information
(SCI)," July 2, 1998.

(n)  DoD Directive 5210.79, "Defense Personnel Security
Research Center (PERSEREC)," July 9, 1992

(o)  DoD Directive 5105.42, "Defense Investigative Service,"
June 14, 1985

(p)  DoD Directive 5200.32, "Department of Defense Security
Countermeasures (SCM) and Polygraph Education, Training,
and Program Support," February 26, 1996

(q)  DoD Directive 5145.1, "General Counsel of the Department
of Defense," December 15, 1989