Webinar Series

Shedding Light on Security Clearances: Process, Requirements, 

and Considerations

July 19, 2017
NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

The Personnel Security Program

July 2017

1
7/19/17 2

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

NBIB INTRODUCTION

Established on October 1, 2016, NBIB has the responsibility of conducting 

background investigations for over 100 Federal agencies – approximately 95% of the 

total background investigations government wide

Locations

•Headquarters	– Washington,	DC

•Operations	Facility	– Boyers,	PA

•Field	Offices	– Throughout	the	United	States

•International	investigative	capabilities

Mission

Delivering	efficient	and	effective	background	

investigations	to	safeguard	the	integrity	and	

trustworthiness	of	the	Federal	workforce

Vision

Transforming	the	culture,	business,	processes,	

and	technological	infrastructure	needed	to	be	

the	nation's	primary	background	investigative	

service	through	interagency	cooperation	and	a	

focus	on	national	security

NBIB	Presenter

Jim Onusko

National	Background	Investigation	

Bureau

Deputy	Assistant	Director	

Federal	Investigative	Records	Enterprise
7/19/17 3

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

TIERED INVESTIGATIVE MODEL

HSPD-12

Suitability

1

2

4

National	

Adjudicative	

Authorities

SF86

SF86

SF85P

SF85P

SF85

5 CFR. 731 or 731 Like

5 CFR. 732

National	Security

3

5 SF86

SF86

Moderate	Risk,	

Public	Trust

High	Risk,

Public	Trust

Low	Risk,	Non-Sensitive,	

Physical/Logical	Access

(HSPD-12	Credentialing)

Q,	Top	Secret,	Sensitive	

Compartmented			

Information,	Critical		

Sensitive,	Special	Sensitive

Non-Critical	Sensitive,	L,	

Confidential	and	Secret

Information
7/19/17 4

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

SUITABILITY DETERMINATIONS

A person’s character traits and conduct determine whether 

employment would protect the integrity or promote the 

efficiency of the service.

ü Qualifications	of	the	position

ü Suitability	Determination	(including	unique	position	

requirements)

ü Agency	heads	may	establish	additional	suitability	standards	

based	on	that	agency’s	mission

ü Fitness	determination:	Standards	of	character	and	conduct	

applied	to	contractors
7/19/17 5

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

SUITABILITY STANDARDS & CRITERIA

ISSUE CRITERIA

• Evidence	of	dishonesty	or	fraud	in	the	competitive	examination	or	

appointment	process	

• Any	statutory	debarment	issue

• Any	loyalty	or	terrorism	issue

Always	refer,	regardless	of	the	date	

of	occurrence

MAJOR	&	

SUBSTANTIAL	

ISSUES

• Patterns	of	conduct	

• Other	than	honorable	military	discharge	

• Felony	Offense	

• Illegal	drug	manufacturing,	trafficking,	or	sale

• Major	honesty	issue	

• Serious	violent	behavior	

• Sexual	misconduct	

• Illegal	use	of	firearms	or	explosives

• Hatch	Act	violation

• Employment	related	conduct	involving	dishonest,	criminal,	or	violent	behavior

Refer	all	within	3	years

For	patterns,	the	conduct	may	begin	

prior	to,	but	must	extend	into,	the	

last	3	years

MODERATE	

ISSUES

• Driving	while	intoxicated

• Drug-related	offense	

• Petty	Theft	or	Forgery	

• Assault,	criminal	mischief,	harassment

• Employment	related	misconduct	involving	insubordination,	absenteeism,	rules	

violation

Refer	for	2	or	more	occurrences	

within	3	years	

May	be	a	combination	of	Moderate	

and	Minor	issues	within	3	years

MINOR	ISSUES

• Minor	liquor	law	violation

• Minor	traffic	violation

• Bad	check

• Minor	disruptive	conduct	

• Minor	employment	related	misconduct

Refer	for	2	or	more	occurrences	

within	3	years	

May	be	a	combination	of	Moderate	

and	Minor	issues	within	3	years
7/19/17 6

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

SECURITY CLEARANCE ADJUDICATION

Security clearances are awarded based on a person’s: 

Interim Security Clearances

An	agency	may	make	a	risk-based	decision	to	issue	an	interim	security	

clearance	when	exigent	circumstances	justify	the	need.

ü Loyalty	to	U.S.

ü Strength	of	character	

ü Trustworthiness

ü Freedom	from	conflicting	allegiances	and	potential	for	coercion

ü Willingness	and	ability	to	abide	by	regulations	governing	the	use,	

handling	and	protection	of	classified	information

ü Honesty

ü Reliability

ü Discretion	and	sound	judgment
7/19/17 7

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

BACKGROUND INVESTIGATION PROCESS

Background	Investigation:	The	examination	of	a	sufficient	level	of	a	person’s	background	to	determine	

their	suitability/fitness	for	employment	and	eligibility	for	the	award	of	a	security	clearance.

Applicant	receives	conditional	offer	of	

employment

Submission	of	fingerprints

Applicant	fills	out	relevant	application

(e-QIP)

Applicant	provides	written	consent

Questions	posed	with	various	timeframes	

and	expanding	follow-up	questions	
7/19/17 8

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

FALSE OFFICIAL STATEMENT OR ENTRIES

TITLE	18	U.S.C.,	SECTION	1001	

Except	as	otherwise	provided	in	this	section,	whoever,	in	any	matter	within	the	

jurisdiction	of	the	executive,	legislative,	or	judicial	branch	of	the	Government	of	

the	United	States,	knowingly	and	willfully:

•Falsifies,	conceals,	or	covers	up	by	any	trick,	scheme,	or	device	a	material	fact

•Makes	any	materially	false,	fictitious,	or	fraudulent	statement	or	representation

•Makes	or	uses	any	false	writing	or	document	knowing	the	same	to	contain	any	

materially	false,	fictitious,	or	fraudulent	statement	or	entry

The	truth	is	generally	always	better	than	the	result	of	being	dishonest
7/19/17 9

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

COVERAGE EXAMPLES & ADJUDICATIVE GUIDELINES

Adjudication	Guidelines

(1)	Guideline	A:	Allegiance	to	the	United	States	

(2)	Guideline	B:	Foreign	Influence	

(3)	Guideline	C:	Foreign	Preference	

(4)	Guideline	D:	Sexual	Behavior	

(5)	Guideline	E:	Personal	Conduct	

(6)	Guideline	F:	Financial	Considerations	

(7)	Guideline	G:	Alcohol	Consumption	

(8)	Guideline	H:	Drug	Involvement	

(9)	Guideline	I:	Psychological	Conditions	

(10)	Guideline	J:	Criminal	Conduct	

(11)	Guideline	K:	Handling	Protected	Information	

(12)	Guideline	L:	Outside	Activities	

(13)	Guideline	M:	Use	of	Information	Technology	Systems	

Investigative	Coverage	Examples

•Criminal	History	– Federal,	State,	Local	(name,	AKA’s,	

fingerprints)

•Identity	Verification

•Immigration	Verification

•Credit	History

•Court	Records	(civil	and	criminal)

•Education	Verification

•Employment	History	Verification

•Tax	Verification

•References

• Listed

• Developed

•Publicly	available	Records

•Polygraph	use	(agency	head	determination)

•Others
7/19/17 10

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

SECURITY CLEARANCE ADJUDICATION

The	adjudicator	weighs	Security	Concerns	and	Mitigating	Factors.

If	denied	or	revoked,	the	individual	has	the	right	of	due	process

Adjudications	

ü The	offense	is	so	minor,	or	so	much	time	has	passed,	or	the	behavior	is	so	

infrequent,	or	it	happened	under	such	unique	circumstances	that	it	is	

unlikely	to	recur	and	does	not	cast	doubt	on	the	individual’s	reliability,	

trustworthiness,	or	good	judgment;

ü The	individual	has	acknowledged	the	behavior	and	obtained	counseling	

to	change	the	behavior	or	taken	other	positive	steps	to	alleviate	the	

stressors,	circumstances,	or	factors	that	caused	untrustworthy,	unreliable,	

or	other	inappropriate	behavior,	and	such	behavior	is	unlikely	to	recur;

ü The	individual	has	taken	positive	steps	to	reduce	or	eliminate			

vulnerability	to	exploitation,	manipulation,	or	duress;

National	Security	Adjudicative	Guidelines	Mitigating	Factors
7/19/17 11

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

SECURITY CLEARANCE ADJUDICATION

Security	clearance	eligibility	remains	intact	for	24	

months	when	gaps	occur,	as	long	as	the	background	

investigation	is	within	scope.

False:		A	security	clearance	is	awarded	for	the	position	a	person	

holds	that	requires	a	clearance	in	the	performance	of	their	duties.

Myth:		Once	granted,	a	security	clearance	belongs	to	a	person	

that	they	carry	with	them.
7/19/17 12

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

SECURITY CLEARANCE TIPS

Maintain your own SF-86 info and document all required bosses, references, 

family, phone numbers, addresses, e-mail, passport numbers, etc.

Provide references who are widely available

Follow Rules and Procedures in jobs/school

Professional, punctual, good performer, good steward of resources, follow cyber policies, 

provide proper notice, etc.

Seek out internships and opportunities that will provide you with a security clearance

Maintain a high level of character and integrity

“If you have a misstep, focus on the mitigating factors to demonstrate that the behavior will not reoccur”

Keep your internet footprint in good standing
7/19/17 13

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

Automation

• NBIB	is	automating	data	throughout	federal	records	repositories;	state/local	law	

enforcement	agencies;	and	commercial	data	sources

• This	initiative	will	improve	timeliness,	costs,	and	quality

Continuous	

Evaluation	

• NBIB		meets	the	ODNI’s	2017	phased	implementation	requirements	with	the	Continuous	

Evaluation	product	line	

• NBIB’s	robust	service	development	will	continue	to	meet	the	evolving	CE	standards

• With	other	Federal	agencies	seeking	to	leverage	our	product,	NBIB	is	currently	in	the	

process	of	completing	eighteen	(18)	additional	MOUs	

Social			

Media	

Pilot

NBIB	is	conducting	a	social	media	pilot	to	assess	the	impact	of	social	media	checks	on	

•Each	stage	of	the	investigative	process

•The	mechanics	of	incorporating	this	type	of	report	into	a	background	investigation	and	

adjudication

•The	effects	on	quality,	costs	and	timeliness

RapBack

Program

• NBIB	works	closely	with	the	FBI	to	implement	biometric	enrollments	in	RapBack,	to	

“push” real-time	arrest	data	and	increase	access	to	other	key	data	sources

• RapBack	will	provide	the	Federal	community	with	a	centralized	repository	for	identifying	

and	reconciling	arrest	information	and	the	associated	adjudicative	actions,	aiding	in	

Reciprocity	across	Government	and	Industry

FUTURE INITIATIVES
7/19/17 14

NATIONAL	BACKGROUND	INVESTIGATIONS	BUREAU

Questions?

For	inquiries,	contact	us	at:

Inquiry@NBIB.GOV
National Initiative for Cybersecurity Education 

(NICE) Webinar Series

“Clearances and Background Investigations”

CLASSIFICATION 15
FBI Security Clearances & Background Investigations

16

• What things should I consider prior to obtaining clearance? 

– Below are specific elements that will automatically disqualify job candidates for 

employment with the FBI. These include: 

• Non-U.S. citizenship

• Conviction of a felony (Special Agents only: conviction of a domestic violence 

misdemeanor or more serious offense) 

• Violation of the FBI Employment Drug Policy 

• Default on a student loan insured by the U.S. Government

• Failure of an FBI-administered urinalysis drug test

• Failure to register with the Selective Service System (for males only, exceptions 

apply)

• Knowingly or willfully engaged in acts or activities designed to overthrow the U.S. 

government by force

• Failure to pay court ordered child support

• Failure to file federal, state, or local income tax returns

If you are disqualified by any of the above, you are not eligible for employment 

with the FBI.

UNCLASSIFIED

UNCLASSIFIED
Disqualifiers – FBI Drug Policy 

• Candidates for employment with the FBI who are currently using illegal drugs, misusing or 

abusing legal drugs or other substances at the time of the application process will be found 

unsuitable for employment

– Marijuana Usage:

• Candidates cannot have used marijuana within the three (3) years preceding the 

date of their application for employment, regardless of the location of use (even if 

marijuana usage is legal in the candidate’s home state). The various forms of 

marijuana include cannabis, hashish, hash oil, and tetrahydrocannabinol (THC), 

in both synthetic and natural forms.

• A candidate’s use of marijuana in its various forms for medical reasons, 

regardless of whether or not it was prescribed by a licensed practicing physician, 

cannot be used as a mitigating factor.

UNCLASSIFIED 17

UNCLASSIFIED
Disqualifiers – FBI Drug Policy Cont. 

• Illegal Drugs:

– Candidates cannot have used any illegal drug, other than marijuana, within the ten 

(10) years preceding the date of the application for employment.

– Candidates cannot have sold, distributed, manufactured, or transported any illegal 

drug or controlled substance without legal authorization.

• Prescription Drugs/Legally Obtainable Substances:

– Candidates cannot have used anabolic steroids without a prescription from a licensed 

practicing physician within the past ten (10) years preceding the date of the application 

for employment.

– Candidates cannot have sold, distributed, manufactured, or transported any 

prescription drug without legal authorization.

UNCLASSIFIED 18

UNCLASSIFIED
FBI Security Clearances & Background Investigations Cont. 

UNCLASSIFIED 19

Three basic reasons for conducting background investigations:

•National Security – Access to Classified Information – Executive Order 12968

•Suitability/Fitness for government employment – Intelligence Community Directive (ICD) 704 

•Physical access to facilities and/or logical access to systems 

üCredit for chart: Defense Security Service (DSS) – dss.mil 

UNCLASSIFIED
FBI Security Clearances & Background Investigations Cont. 

• Who determines whether I get the clearance?

– The FBI Security Division determines who is approved for employment with the FBI. 

– All FBI employees must undergo an FBI Background Investigation and receive an FBI 

Top Secret security clearance. Once you have received and accepted a conditional job 

offer, the FBI will initiate an intensive background investigation. 

– You must go through this background investigation, and you must pass, before moving 

forward with employment. The preliminary employment requirements include:

• Completing an SF-86, Personnel Security Interview (PSI), a test for illegal drug 

usage, polygraph examination; 

• Credit and records checks; and extensive interviews with former and current 

colleagues, neighbors, friends, professors, etc; and

• Investigating foreign contacts and associations, foreign travel, and foreign 

influence. 

Before applying for any FBI position, candidates should make sure that the 

FBI Employment Disqualifiers do not apply to them.

UNCLASSIFIED 20

UNCLASSIFIED
FBI Security Clearances & Background Investigations Cont. 

• How long does the investigation take?

– A background investigation can take anywhere from six (6) months to one (1) year; however, 

depending if a candidate has foreign influence it can take longer to investigative and approve 

for FBI employment. 

• Do my actions five (5) years ago affect my eligibility?

– It depends, refer to the automatic disqualifiers. In addition, depending on what negative 

information is revealed during the extensive background will also disqualify candidates from 

FBI employment. 

• Does the process differ for federal employees versus contractors?

– Contractors are approved and vetted through their contracting company. However, a 

Visit Access Request (VAR) must be sent to the FBI to validate an individual’s security 

clearance. VARS are only good for one (1) year. If a contractor requires access to 

Sensitive Compartmented Information (SCI), they will have to undergo a 

Counterintelligence (CI) polygraph. Contractors converting over to FBI employee 

status will go through the same process as initial candidates. 

UNCLASSIFED 21

UNCLASSIFIED
FBI Security Clearances & Background Investigations Cont. 

QUESTIONS

?

UNCLASSIFED 22

UNCLASSIFIED
Thank	You	for	Joining	Us!

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