·~~TIONAL SECURITY AGENCY • () ,f ;l__.-.j 

FORT GEORGE G. MEADE. MARYLAND · 1 

Serial: N 0998 

2 2 MAi 1961 

mroRANDUM FOR THE SECRETARY OF DEFENSE . (ATTNa General G. B. Erskine, USMC-Bet, 

Assistant to the Secretary of Defense, 

Special Operations) 

SUBJECT: Personnel Security Background Investigations (10 

l. Re-examination of the clearance and other security 

procedures within the National Security Agency following the 

defection ot two civilian employees during the smnmer of 1960 

hae resulted in numerous changes. One of these has been the 

elimination of interim clearances at this Agency. Under our 

present concepts, a new employee must have a final clearance 

before his services may be utilized in a ful.lJr productive 

capacity. Since all p0sitions at the National Security Agency 

are'sensitive, this requires the evaluation ot a completed 

·background investigation before the necessaJ;"Y" clearance may 

~e granted. 

2. Norma.lly, as soon as an applicant completes initial 

·processing and it has been detennined that he will be hired, 

one of. the Military services is requested to conduct an 

investigation into his background. The l.fi.litary Services 

conduct such investigations on Agency civilian employees 

in accordance with support agreements executed under the 

terms of Department of Defense Directive S-5100.20, "The 

National Security Agencyt', dated 19 March 1959· Experience 

'has shown that these investigations consume .tram two to nine 

months or more, during which time the employee' is being :rully 

c~pensated but is only partially productive at best. . . . 

3. In many instances, the time required for completion 

of the investigative phase of processing is und~ lengthened. 

because the investigations did not meet the scope required by 

the United States Intelligence Board. The scope for investigations, as outlined by USIB in determining the ba~is for access 

to cryptologic information is not identical with that imposed 

upon the investigative ~ of the tbree Services by their ~especti~e regulations. 

t"pproved for Release by NSA on 01-10-2014 pursuant to E. 0. 1352B 

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REF ID:A44082 

e. 

N 0998 

• 4. The United States Intelligence Board also requires that 

those individuals who have a broad lmowledge of U. s. cryptologic 

'activities shall be re-investigated at intervals not to ~eed 

five yea.re. The National. Seouz-it;r ·Aa;eno;r ii'&it.iatee z-e~ve1rW.&at:i.Ol\ 

· requests approximately four years from the date of the la.st investigation in order to provide adequate· ·time to complete the reinvestigation and the necessary evaluation. 

5. 'In view of t:tie current critical needs of this A:gency for 

personnel, particularly those with critical sld.lls, and the cost 

to the Government in salaries of personnel awaiting clearance · processing, it is respectful.ly requested that the Secretaries 

of the l".dlitai-y' Departments be asked to give priority handling 

to investigations on behalf of the National Security Agency • . It is also re.quested that initial investigations and re-investigations 

of Agency employees be conducted 'Wlder the broader scope outlined by 

the u. s. Intelligence Board. A draft of proposed correspondence 

to the Secretaries of 'the Military Departments on this matter is 

inclosed. 

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REF ID: A44-o-e-2------------

I 

mro?Wmux FOR TH& SECRETARY OF TliE Amv1Y 

SECRETARY OF THE NAVY 

SECRETARY.PF .THE AIR FORCE 

SUBJECT: Background Investigations Conducted on Behalf of the 

National Security Agency 

1. As part of the support rendered to the National Security 

Agency in accordance with agreements executed "Wlder the terms of 

Department of Defense Directive S-5100.20, "The National Security 

Agencyt', dated 19 1-iarch 1959, the investigative organizations 

under your cognizance conduct background. investigations on that 

Agency's civilian employees. In view of changes in clearance 

and other procedures placed in effect at the-National Security 

Agency to st~engthen security following the defecti-0n of two 

employees during the summer of 1960, Agency employees may no·· 

longer be fully utilized in a productive capacity until they 

have been granted a clearance based-upon a completed background 

investigation. Unless expeditious ha..."ldling can be given to these 

investigations, a considerable cost accrues to the Government in 

·the salaries of these persolUlel while they are awaiting the completio~ of investigations. Also, the Agency is restricted 

in its ability to satisfy requireinents f9r the employme..~t of 

individuals possessing critical sld.lls. 

2. The United States Intelligence Board has established 

investigative requirements for determining the eligibility of 

individuals whose duties entail access to special intelligence 

information and materials. · These requirements which are published 

in Director of -Central Intelligence Directive 6/3, Communications 

Intelligence Regulations, dated 29 December 1959, are necessary 

to insure that such individuals are of excellent character and 

discretion, and are of unquestioned loyalty to the United States. 

In addition, this Directive requires that those individuals who 

have a broad knowledge of the special intelligence activities 

of the United States shall be re-investigated at intervals not 

to exceed five years. The National Security Agency initiates 

requests to the l.Ulitary Departl!lents for such re-investigations 

approxillla.tely four years tram. the date of the last investigation, 

in order to provide sufficient time to complete the re-investigation 

and the· necessary evalua~ion. 

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J •. It is requested; therefore, that the investigative 

organizations Under _yoμr d:l.rection.be required to give 

priority handling to investigatio~s conducted on behalf or 

the N&t~onal Secni1r~~ Ati;enc~. Fm'ther, it i& requested. that 

in order for the National S~curity Agency to fulfill its 

responsibilities uilder the provisions of Director of Central 

Intelligence Directive 6/3, that these investigations contain 

the cove~aee described in the inclosure to this Memorandum. 

Incl.: 

Scope Requirements for 

Investigations Conducted 

on Behalf of the national 

Security Agency 

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REF ID:A4~0'82~~~~----------...... -

• . SCOPE REQUIREMENTS FOR INVESTIGATIOMs· CONDUCTED ml BEHALF OF THE 

MATIOliAL SECURITY AGE.lVCY 

A. INITIAL INVESTIGATION. 

l. It is essential that the scope o:r the background investigations conducted on National Security Agency personnel cover the 

period of the last 15 years of the indiVidual's lif'e, or the ~od since his lath birthday, as a minimum. These.investigations .. must include investigative checks listed below, and, where indicated, 

ext.end beyond the 15 year ,period. 

2. National Agency Check. The National Agency Check in 

connection with an initial background imrestigation will be .. conducted by the Civil Service Camniss~on. 

,3. Citizenship. The United States citizenship o:r the · .individ~ lll:USt be verified. Where cit;i.zenship is acquired by 

birth; verification should be made. ·through review of records ot 

the appropriate Bureau·o:r Vital St-atistics, when possible. 

In addition, it is necessary that United States citizenship, 

by naturalization, ot arry member ot the individual's ililmediate 

family, or his spouse's family_, be verified when foreign birth 

is indicated. Included in the immediate family are mother, 

father; sisters, brothers, children, step-sisters, step-brothers, 

half-sisters, half-brothers, and adopted children over l8 years 

of age. When information indicates that a member of the imnediate 

i'am:i.J.y was born ill: the.Soviet Union or in a country under its 

control or influence, appropriate Gover:mnent records which might ~ovide information reflecting upon the loyalty of that relative 

should be reviewed in: addition to the naturalization records. 

4. Education. The records of all educati9nal institutions, 

attended during the 15 year period, must be reviewed. In addition, int~rviews of school personnel with a knowledge of the individual 

should be conducted. The last secondary school or college attended, 

as appropriate, must be cl,lecked regardless of the time period. · 

- 5. Flnploynient. Each employnient by the individual during the 

period of the investigation must be verified· by check of employer's 

records, where possible. In addition, an attempt should be made 

to interview at least one supervisor and two co-workers at each 

previous place of emplo:yment. Records of fo:nner :Ydlitary or 

Civil Service must be reviewed when such service is indicated. 

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REF ID:A44082 

• . ~· Residences. All places of residence during the period 

covered by the investigation must be verified and at least two · neighbors who !mew the individual at each place of residence 

should be interviewed. Only those milita.ry 2;1eaidanae11 'Within. 

the last five years wherein family-assigned quarters were 

utilized need be verified. 

7. Associations. When information i.'l'ldicates the individual 

associates with foreign nationals, employees of a f'oreign country, 

or employees of a foreign commercial organization, the nature and 

degree of such association must be determined. 

S. Police and, Credit Records. Records of appropriate Police 

Departments and credi~ organizations should be reviewed f'or each 

area in which the individual has resided during the period covered 

by the investigation. 

9. Divorce Records. Where there is an indication that a 

divorce has taken.place, the appropriate court records should 

be reviewed for inf'orm:a.tion pertinent to the investigation. 

10. References. At least three persons listed·as character 

references by the individual should be interviewed, and at" least 

two other persons not so listed who are in a positiolli to comment · on the individual's character, loyalty.and disc~etion should be 

interviewed. · 

B. RE-IMVESTIGATIONS. 

1. The re-investigation should encompass the period of time 

in the individual's life since the period covered by the last 

·background investigation. 

2. Education. Records of educational institutions attended 

by the individual must be reviewed and school personnel with 

knowledge of the individual· should be interviewed. 

j. Employment~ Records of employment by the National Security 

Agency need not·be reviewed. However, records of all other 

employers during the period covered by the investigation must 

be reviewed and at least one supervisor and two co-workers at 

eacli place of employment, including the National Security Agency, 

should be interviewed. This coverage must be applied. to parttime emplo;;yments. 

4. Residences. All residences must be verified and at least 

two neighbors interviewed at each area of residence • 

. 5. Police and Credit Records. The records of local PoJice 

and credit organizations in each area of residence must be checked. 

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REF ID:A44082 

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6. l-ti.litary Service. Records of Military Service subsequent 

to the period covered by the la.st investigation raust be reviewed. 

7. Divorce .Records. When applicable', records of divorce action 

n1ust be reviewed. 

8. References. At least two persons listed by the individual 

as character· references, and at least two other persons, not so 

listed, who are in a position to comment· on the employee's 

character, loyalty and discretion must be interviewed. 

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