Air Force
Intelligence and Security Doctrine


BY ORDER OF THE AIR FORCE HANDBOOK 31-502
SECRETARY OF THE AIR FORCE 1 MAY 1996

Security

PERSONNEL SECURITY PROGRAM

NOTICE: This publication is available digitally. Contact your Publishing Distribution Office (PDO) for the monthly CD-ROM or access to the bulletin board system. The target date for discontinuing paper publications is December, 1996.

This handbook provides information and guidance for implementing the Air Force Personnel Security Program (PSP). Use it in conjunction with policy direction established by Air Force Instruction (AFI) 31-501, Personnel Security Program Management, Air Force Policy Directive (AFPD) 31-5, Personnel Security Policy, and DoD 5200.2-R, Personnel Security Program Regulation. Forward inquiries and recommendations to improve this handbook through command channels to HQ USAF/SPI, 1340 Air Force Pentagon, Washington DC 20330-1340.

Paragraph

Chapter 1--Explanation of Overall Process

Section A--Investigative Requirements for Clearances
General Information 1.1
Air Force Clearance Eligibility Authority 1.2
Section B--Adjudication Process
General Information 1.3
Section C--Adjudicative Decisions and Issuing Clearance Eligibility
Favorable Adjudicative Decisions 1.4
Unfavorable Adjudicative Decisions 1.5
Issuing Clearance Eligibility 1.6
Section D--Program Requirements
General Requirements 1.7
Section E--Program Management
General Information 1.8
Base Level Responsibilities 1.9
Unit Responsibilities 1.10
Oversight Methods 1.11

Chapter 2--Requesting Personnel Security Investigations
Section A--Authority to Request Personnel Security Investigations
Authorized Requesters 2.1
Guidelines for Requesting Investigations 2.2
Section B--Utilization of AF Form 2583, Request for Personnel Security Action
AF Form 2583 2.3
Section C--Types of Investigations
General Information 2.4
Investigation for Secret Clearance 2.5
Investigation for Top Secret Clearance 2.6
Special Investigative Inquiry (SII) 2.7
Section D--Reasons for Investigations
First-Term Enlistees 2.8
Commissioning or Reentry After a Break in Service 2.9
Other Investigations 2.10
Section E--Special Access Programs (SAPs)
General Information 2.11
Sensitive Compartmented Information (SCI) 2.12
Single Integrated Operational Plan-Extremely Sensitive Information (SIOP-ESI) 2.13
Presidential Support Program (PSP) 2.14
Nuclear Weapons Personnel Reliability Program (PRP) 2.15
North Atlantic Treaty Organization (NATO) 2.16
Section F--Periodic Reinvestigations (PRs)
General Information 2.17
Supervisory Review 2.18
Section G--No Evidence of Clearance in the Personnel Data System (PDS)
No Evidence of Clearance Data 2.19

Chapter 3--Automated Security Clearance Approval System (ASCAS)
System Operation 3.1
ASCAS Roster 3.2
ASCAS Update Procedures 3.3
Tracer Actions 3.4
ASCAS Problem Identification 3.5
Information Gathering 3.6

Page

Figures
1.1. Sample Request for Evaluation of Continued Security Clearance Eligibility to Commander or Staff Agency Chief 4
1.2. Sample Request to Establish a Special Security File (SSF) to the Security Activity 6
1.3. Sample Notification of SSF Established when Individual Maintains Access 7
1.4. Sample Request for Review and Written Opinion 7
1.5. Sample Notification to Individual of Suspension of Access 8
1.6. Sample Commander Notification to Individual of SSF Establishment with Continued Access to Classified Information 9
17. Sample SSF Establishment Notification to Commander 9
1.8. Sample SSF Establishment Notification to Installation Commander 10
1.9. Sample Recommendation for SSF Closure 11
1.10. Sample SSF Transfer Letter 11
1.11. Sample SSF Custodian Checklist 12
1.12. Sample SSF Unit Checklist 13
2.1. Sample Format for Commander's Nomination to a Presidential Support Position 19
2.2. Sample Medical Certification for Presidential Support Program 20
2.3. Sample Nomination File Cover Letter for Presidential Support Program 21
3.1. Sample 497 IG/INS RIP--Civilian 24
3.2. Sample 497 IG/INS RIP--Military 25
3.3. Sample ASCAS Message From 497 IG/INS--Civilian 26
3.4. Sample ASCAS Message From 497 IG/INS--Military 27
3.5. Sample Comeback Copy--Civilian 28
3.6. Sample Comeback Copy--Military 29
3.7. Sample Tracer Letter 30
3.8. Sample Civilian PC-III/BLPS ASCAS Management Information Roster 31
3.9. Sample Military PC-III/BLMPS ASCAS Management Information Roster 33

Tables
2.1. Instructions To Complete AF Form 2583, Request for Personnel Security Action 17
3.1. ASCAS Trouble-Shooting Matrix 23

Attachment
1. Glossary of References, Abbreviations, Acronyms, and Terms 35

Chapter 1

EXPLANATION OF OVERALL PROCESS

Section A--Investigative Requirements for Clearances

1.1. General Information.
1.1.1. The Secretary of the Air Force is the authority for determining security clearance eligibility for Air Force personnel. This authority is delegated to the 497 IG/INS.
1.1.2. Commanders, supervisors, and staff agency chiefs grant access to incumbents under their jurisdiction who have received clearance eligibility under the provisions of DoD 5200.2-R, and AFI 31-501.
1.1.3. Military personnel, Air Force civilian personnel, and persons employed by or serving in a consultant capacity to the Air Force may be considered for access to classified information when such access is required in connection with official duties.

1.2. Air Force Clearance Eligibility Authority. The 497 IG/INS adjudicates personnel security investigations of Air Force personnel. This office is the single Air Force authority for granting, denying, or revoking security clearance eligibility.

Section B--Adjudication Process

1.3. General Information.
1.3.1. Individuals must meet standards as outlined in DoD 5200.2-R for a security clearance eligibility or assignment to sensitive duties. The standards pertain to a person's loyalty, reliability, and trustworthiness in the interest of national security.

Section C--Adjudicative Decisions and Issuing Clearance Eligibility

1.4. Favorable Adjudicative Decisions. The 497 IG/INS issues security clearance eligibility to the highest level authorized based on the type of investigation conducted. The commander retains authority to determine level of access based on eligibility determination and need-to-know.

1.5. Unfavorable Adjudicative Decisions. Unfavorable adjudication results in the denial or revocation of clearance eligibility. When an individual's security clearance is denied or revoked, due process procedures are provided in accordance with DoD 5200.2-R and AFI 31-501.

1.6. Issuing Clearance Eligibility. The 497 IG/INS enters the clearance eligibility for military and civilian personnel in the Defense Clearance and Investigations Index (DCII). The data then flows through the Automated Security Clearance Approval System (ASCAS) to the Personnel Data System (PDS) at Randolph AFB TX.
1.6.1. The 497 IG/INS transmits clearance data to the Air Force Reserve Officer Training Corps and Air Force Academy subsystems. Clearance data flows to automatically update the PDS prior to the individual's commissioning and entrance on active duty.

Section D--Program Requirements

1.7. General Requirements. The DoD 5200.2-R, Chapter II, outlines the security standards for a security clearance. Individuals must meet these standards for initial and continued access to classified information or assignment to sensitive duties.
1.7.1. Access to classified information may be granted only to persons who have the appropriate personnel security clearance eligibility, have signed the Standard Form 312 (SF 312), Classified Information Nondisclosure Agreement (NdA), and whose official duties require such access (need to know).
1.7.2. Clearances can be verified by the ASCAS, Permanent Change of Station Orders, or Temporary Duty Orders.
1.7.3. Only US citizens may be assigned to sensitive duties or be granted access to classified information. Non-US citizens may not be assigned to sensitive duties, granted a personnel security clearance, or granted access to classified information. The Secretary of the Air Force or designees may authorize exceptions (Limited Access Authorizations) in rare instances when non-US citizens have special expertise which serves the national interest. Non-US citizens may be employed in the competitive service in sensitive civilian positions only after specific approval by the Office of Personnel Management (OPM). Exceptions to these requirements are permitted only for compelling national security reasons.
1.7.4. Citizenship status can be verified by the ASCAS, Passport, Birth Certificate or Certificate of Naturalization with the raised seal.

Section E--Program Management

1.8. General Information.
1.8.1. The Administrative Assistant to the Secretary of the Air Force (SAF/AA) has been designated the senior authority within the Air Force for administering the Personnel Security Program (PSP).

1.9. Base Level Responsibilities. The PSP is normally managed by the servicing security activity. At the installation level, the actual day-to-day functions are usually assigned to security specialists of the servicing security activity. These individuals work with unit security managers, personnel officers, and other activities to implement the PSP. They perform the following functions:
1.9.1. Provide guidance to unit commanders or staff agency chiefs and trains unit security managers on PSP requirements.
1.9.2. Serve as the base level single POC with the 497 IG/INS on personnel security clearance matters.
1.9.3. Maintain, coordinates, and forwards Special Security Files (SSFs) to the 497 IG/INS. See Figures 1.1 through 1.12.
1.9.4. Request personnel security investigations (PSIs).
1.9.5. Provides assistance as necessary to the Civilian Personnel Flight (CPF) and unit commanders on suitability issues for civilian employees.
1.9.6. Ensure that ASCAS tracer requests are accurate and within established time criteria.
1.9.7. Assist unit security managers with requests for reinvestigations as required.
1.9.8. Attend security manager meetings and briefs on PSP topics of interest.
1.9.9. Develop and distributes PSP security educational material.
1.9.10. Evaluate suggestions pertaining to the PSP.
1.9.11. Provide management oversight concerning PC-III ASCAS applications.
1.9.12. Acquire PC-III login to access base ASCAS rosters and security clearance reports on individual personnel (RIPs) and to forward tracer requests.

1.10. Unit Responsibilities. Air Force unit security managers manage their unit's PSP. These security managers are trained by and work closely with servicing security activity security specialists. They perform the following functions:
1.10.1. Identify and report discrepancies in ASCAS data on assigned personnel.
1.10.2. Acquire PC-III login to access unit ASCAS rosters, RIPs and to initiate tracer requests. For non PC-III organizations, the unit security manager should establish a requirement with the MPF to get the ASCAS roster monthly.
1.10.3. Notify the servicing security activity when unit personnel PCS, PCA, separate, or are pending discharge.

1.11. Oversight Methods. Oversight of the PSP is fulfilled through a combination of methods determined by the commander. Some examples are staff assistance visits, metrics and policy directives, and implementing guidance.

Figure 1.1. Sample Request for Evaluation of Continued Security Clearance Eligibility to Commander or Staff Agency Chief.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Unit Commander or Staff Agency Chief concerned)

FROM: FULL ADDRESS

SUBJECT: Evaluation of Continued Security Clearance Eligibility

The attached unfavorable/derogatory information has been developed concerning the above member of your organization. Please review this information and determine on the basis of the facts available, if it is in the interest of national security to establish a Special Security File andwhether or not to suspend access to classified information/unescorted entry to restricted areas while such information is resolved. Your review of the security standard criteria in AFI 31-501, Chapter 8, and DoD 5200.2-R, paragraph 2-200 will guide your decision.

Upon completion, please provide your decision and rationale for or against Special Security File establishment.

My security specialist stands ready to assist with any questions you may have. Please respond NLT .

Signature
Chief, Security Activity

Attachment(s):
Figure 1.1. Continued.

1st Ind,

TO: SPAI

I have reviewed the available unfavorable/derogatory information concerning subject and do not believe the suspension of access to classified information and or unescorted entry is warranted. My rationale for this decision is ; consequently, I've determined this case doesn't meet the purview of AFI 31-501 for SSF establishment. This individual's continued access/entry is in the best interest of national security. Should additional unfavorable/derogatory information become available, I will reevaluate my decision. I have/have not coordinated this decision with the JA.

OR

I have determined the derogatory/unfavorable information concerning subject falls within the criteria of AFI 31-501, Chapter 8. An SSF has been established, please set up a folder and maintain an SSF as outlined in AFI 31- 501, Chapter 8.

I have/have not withdrawn subject's access to classified information and/or unescorted entry to restricted areas. Attached as applicable is the:
a. AF Form 2583, Request for Personnel Security Action. (This form is used to document Special Access, i.e., NATO, CNWDI, SIOP, etc.)
b. AF Form 2586, Unescorted Entry Authorization Certificates, stamped by Pass & Registration Section, reflecting restricted area badge cleared returned.
c. AF Form 2587, Security Termination Statement.
d. Notification of suspension of access.

My rational for this decision is : Subject's current situation (problem/incident, status, pending administrative/judicial action, etc.). Previous disciplinary problems/incidents and action taken, if any. Subject's duty performance. Any evaluations the subject has received. Any other pertinent information. Subject's retainability in the US Air Force.

To resolve this case I've taken the following actions: requested investigation, evaluation, etc. I'll keep your office informed of any changes.

Signature Block Unit Commander or Staff Agency Chief

Attachment(s)

Figure 1.2. Sample Request to Establish a Special Security File (SSF) to the Security Activity.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR SPS/SPAI

FROM: USE FULL ADDRESS

SUBJECT: Request Establishment of Special Security File (SSF), re: (Last Name, First, Middle, Rank, SSAN)

Request an SSF be established on (Individual).

I have become aware of the Subject's involvement in (specify situation). After review of DoD 5200.2-R, paragraph 2-200, Appendix I, and AFI 31-501, Chapter 8, it is determined that further evaluation is needed to determine the subject's eligibility to retain access to classified information/unescorted entry to restricted areas.

(SUBJECT) has been placed in a nonsensitive position and all access to classified information/unescorted entry to restricted areas has been withdrawn in accordance with AFI 31-501.

Or

(SUBJECT) will continue access to classified information/unescorted entry to restricted areas in accordance with AFI 31-501. (ANY OF THE FOLLOWING AS PERTINENT)

There is a Report of Investigation (ROI). Name of agency conducting the investigation. Date of ROI.

Mental Health will be conducting an evaluation of the subject. Date of referral.

Subject has been referred to Social Actions. Date of referral.

Subject was given disciplinary action for this incident. Type of disciplinary action. (e.g., Article 15)

A Courts-Martial is projected for this individual: (Date)

Subject was placed in appellate leave status: (Date)

The subject's present Date Eligible Retirement or Separation (DEROS) date is.

We (do/do not) intend to discharge the subject in accordance with AFI 36-3206, Administrative Discharge Procedures for Commissioned Officers, or AFI 36-3208, Administrative Separation of Airmen.

I will provide your office with status updates in accordance with AFI 31-501, paragraph 8.7.

SIGNATURE BLOCK OF Commander Requesting SSF

Attachments:
1. Adverse Security Determination
2. AF Form 2583 (Only if special access is being withdrawn, not to include SCI)
3. AF Form 2586
4. AF Form 2587

Figure 1.3. Sample Notification of SSF Established when Individual Maintains Access.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR 497 IG/INS

FROM: USE FULL ADDRESS

SUBJECT: Establishment of Special Security File (SSF), re: (name of subject)

The commander of (identify unit) has requested establishment of an SSS on (name and SSAN) due to (specify issue). At this time the commander has authorized the individual to maintain current access to classified information.

The SSF was established on (date).

Chief, Security Activity Signature Block

Figure 1.4. Sample Request for Review and Written Opinion.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (DP, SP, JA, SG, as determined by the nature of the case)

FROM: Subject's Commander or Staff Agency Chief

SUBJECT: Review and Written Opinion - Special Security File (SSF)

AFI 31-501, Chapter 8, requires your review and written opinion concerning the attached SSF. Please review the file and provide your professional opinion/recommendation concerning this individual's security clearance eligibility. This information is required to assist me and the 497in determining if this person's clearance eligibility is in the best interest of the Air

In addition, please review any other pertinent records available in your office and advise if there is any additional information that would warrant the continued denial of access to all classified information and unescorted entry to all restricted areas. A denial or revocation will cover classified at all levels.

Please return the entire package with a record of your review comments and recommendation not later than (10 working days).

Should you have any questions, please telephone me or my security manger at ext.

Commander or Staff Agency Chief's Signature Block

Attachment
SSF, RE: (Name of Subject)

Figure 1.5. Sample Notification to Individual of Suspension of Access.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Individual Concerned)

FROM: FULL UNIT ADDRESS

SUBJECT: Notification of Suspension of Access

You are hereby notified that a security determination has been made to suspend your access to classified information/unescorted entry into restricted areas. This action is being taken because of your alleged (be specific as protection of sources allows and national security permits.)

If you wish to provide a rebuttal reply to this determination, I must receive it no later than 72 hours (unit establishes time frame) after your receipt of this notification.

If you choose to reply, a written response to your submission will be made dealing with the points or questions you raise.

A Special Security File will be established. When all final actions in this case have been completed, I will evaluate the incident(s) and make a security recommendation. The 497 IG/INS will make the final security determination concerning your reinstatement of clearance eligibility.

Commander or Staff Agency Chief's Signature Block

1st Ind, (Individual Concerned)

TO: (Individual's Commander or Staff Agency Chief)

Receipt acknowledge (Date)

I (do/do not) intend to submit a written reply within 72 hours. (Unit establishes time frame)

Individual's Signature Block
Figure 1.6. Sample Commander Notification to Individual of SSF Establishment with Continued Access to Classified Information.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Individual Concerned)

FROM: FULL UNIT ADDRESS

SUBJECT: Notification of Decision to Establish a Special Security File with Individual Continuing Access to C Classified

You are hereby notified that a security determination has been made to establish a Special Security File. This action is being taken because of your alleged (be specific as protection of sources allows and national security permits.)

However, I have determined your current access to classified information may continue until further notice.

If you wish to provide a rebuttal reply to this determination, I must receive it no later than 72 hours (unit establishes time frame) after your receipt of this notification.

If you choose to reply, a written response to your submission will be made dealing with the points or questions you raise.

When all final actions in this case have been completed, I will evaluate the incident(s) and make a security recommendation. The 497 IG/INS will make the final security determination concerning your security clearance eligibility.

Commander of Staff Agency Chief's Signature Block

Figure 1.7. Sample SSF Establishment Notification to Commander.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Commander of Subject)

FROM: FULL ADDRESS

SUBJECT: Establishment of a Special Security File (SSF) RE: (Name of Subject)

A SSF has been constructed on subject individual within your organization in accordance with AFI 31-501, Chapter 8.

The following documents have been placed in the file:
a. A copy of your letter, dated Subject: Establishment of a Special Security File.
b. A copy of the SSF establishment notification to 497 IG/INS.
c. A copy of my notification to the (Commander, Support Group), informing him/her of establishment of the file and the contents therein.

The file will be maintained by this office until all local actions necessary to make a security clearance eligibility determination are complete. The file will then be forwarded to the 497for a final security clearance determination. Accordingly, please provide us with the following recommendation/documentation for incorporation into the file:
a. Copies of any investigative reports (e.g., AFOSI, DIS, local security police investigations, FBI, etc.) that will have a bearing on the final resolution of the case.
b. Summary of appropriate portions of subject's Unfavorable Information File (UIF), if any, that may have a bearing on the final adjudication of the case.
c. Reports or summaries of medical evaluations having a bearing on the medical aspects affecting subject's ability to be granted/or retain access to classified information/unescorted entry to restricted areas. Medical evaluation/report must contain a statement with respect to the impact on subject if the information is released to the subject.
Figure 1.7. Continued.

d. Correspondence and forms related to withdrawal, revocation, suspension of special access, or correspondence documenting a commander's recommendations relating to withdrawal or suspension of special access or clearance. If not already accomplished, the AF Form 2586, Unescorted Entry Authorization Certificate, must be submitted to show that the AF Form 1199A/B/C/, Restricted Area Badge, has been turned over to the Pass & Registration Section. In addition, an AF Form 2587, Security Termination Statement; and an AF Form 2583, Special Access Certificate; must be supplied for inclusion in the SSF.
e. Review and written opinions obtained from base level staff agencies, such as legal, medical, social actions, security police, and personnel.

You must make periodic status updates to this office in order that we may keep the 497 IG/INS informed of the actions taken. The first update is due to our office days from the date of the initial establishment of the SSF.

Each subsequent update is due at day interval until the case file is closed. The first status update will be due to SPAI on : .

Your final recommendation for closure is required once all actions (e.g., investigation, evaluation, administrative/judicial actions) are complete or upon separation of the individual from the USAF. Once all required documentation is provided, the SSF can be forwarded to the 497 IG/INS for final adjudication.

Please direct any questions concerning this matter to the SSF custodian, (program manager's name and telephone number).

Signature Block
Chief, Security Activity

Figure 1.8. Sample SSF Establishment Notification to Installation Commander.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Installation Commander)

FROM: FULL UNIT ADDRESS

SUBJECT: Establishment of Special Security File (SSF)

The following information is provided to inform you of the establishment of an SSF:
a. Name:
b. Rank:
c. Organization:
d. Reason for SSF Establishment:
e. Date SSF was established by commander or staff agency chief:

My SSF custodian is at extension .

Signature Block
Chief, Security Activity

Figure 1.9. Sample Recommendation for SSF Closure.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Chief, Security Activity)
497 IG/INS
In Turn

FROM: USE FULL ADDRESS

SUBJECT: Recommendation for SSF Closure RE: (Name of Subject)

Request the SSF on subject individual be forwarded to the 497 IG/INS for final adjudication. All final actions in this case completed as outlined below:
a. Mental Health evaluation
b. Completed Alcohol rehabilitation program
c. Receive financial counseling from:
d. Administrative action
e. Judicial action: (An opinion from staff judge advocate regarding factors used in determination of withdrawal or dismissal of charges when there is evidence the individual engaged in the misconduct. For example, positive urinalysis, but found not guilty through court-martial. Was the finding based on technicalities or evidence?)
f. Add any additional pertinent information.

This individual will be returned to duty/cross trained/separated/placed in appellate leave status. Based on the information provided in this case, I recommend this individual's clearance eligibility be (reinstated/revoked). Providing supporting rationale for recommendation.

If additional information is necessary, please contact me at DSN XXX-XXXX.

Commanders of Staff Agency Chief's Signature Block

Figure 1.10. Sample SSF Transfer Letter.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR (Chief, Security Activity)

FROM: FULL UNIT ADDRESS

SUBJECT: Transfer of Special Security File (SSF), ref: (Name of Subject, Rank, SSAN)

The attached SSF is forwarded in accordance with AFI 31-501, paragraph 8-6.

The subject has received orders for Permanent Change of Station (PCS) to your installation, with a RNLTD of .

A copy of this transmittal letter is being forwarded to the 497 IG/INS for information.

Signature Block
Chief, Security Activity

Attachment:
SSF

cc:
497 IG/INS

Figure 1.11. Sample SSF Custodian Checklist.

SSF CUSTODIAN CHECKLIST

1. Identifying Data:
NAME:
RANK:
SSAN:
OFFICE SYMBOL:

2. Establishment Date:
DATE:
BY:
REASON:
SOURCE: (If appropriate)

3. ASCAS/PC III Data:
CLEARANCE/SAR CODE:
INVESTIGATION TYPE:
SPECIAL ACCESS:

4. SSF request letter to Chief, Security Activity. (NOTE: Discuss with Chief, Security Activity if establishment may compromise an ongoing investigation.)

5. Evaluation letter to unit commander based on unfavorable information developed within SP channels, e.g., DD Form 1569, AF 3545, OSI report, PRP suspension, etc.

6. Adverse action determination letter presented.

7. Moved to nonsensitive position, access to classified/unescorted entry to restricted areas suspended, peers/supervisors briefed.

8. SSF establishment notification to 497 IG/INS.

9. Installation Commander notified of SSF establishment.

10. Relinquish AF Form 1199, USAF Restricted Area Badge, to Pass and Registration.

11. AF Form 2583, Request for Personnel Security Action, used as a special access certificate, withdrawn.

12. AF Form 2586, Unescorted Entry Authorization Certificate, annotated.

13. AF Form 2587, Security Termination Statement, completed.

14. Request appropriate Servicing Security Activity, AFOSI, or DIS investigation. (Ensure copies of all reports are provided to SPAI for SSF inclusion.)

15. Direct and ensure subject receives assistance and counseling as necessary from such agencies as mental health, social actions, chaplains, etc.

16. Provide SPAI with the current status until all actions are complete.

17. PTI41B to 497 IG/INS providing status reports.

18. Judicial/administrative actions complete.

19. Reviews and written opinions requested and received from appropriate staff agencies, e.g. DP, SP, JA, SG.

20. Forwarded to gaining installation Chief, Security Activity based on PCS orders. Information copy to the 497 IG/INS.

21. Closure letter to SP (include all actions taken and supported recommendation for or against reinstatement of clearance eligibility).

22. Completed file transmitted to the 497 IG/INS.

NOTE: Custodians need to maintain all documentation necessary to complete the SSF.

Figure 1.12. Sample SSF Unit Checklist.

SSF UNIT CHECKLIST

1. Identifying Date:
NAME:
RANK:
SSAN:
OFFICE SYMBOL:

2. Establishment Data:
DATE:
BY:
REASON:
SOURCE: (if appropriate)

3. ASCAS/PC III Data:
CLEARANCE/SPECIAL ACCESS REQUIRED (SAR) CODE:
INVESTIGATION TYPE:
SPECIAL ACCESS:

4. SSF establishment letter to Chief, Security Activity. (NOTE: Discuss with Chief, Security Activity if establishment may compromise an ongoing investigation if justification is questionable.)

5. Moved to nonsensitive position, access to classified information/unescorted entry to restricted areas suspended, peer/supervisors briefed.

6. Relinquish AF Form 1199, USAF Restricted Area Badge, to Pass and Registration.

7. AF Form 2583, Request for Personnel Security Action, used as a special access certificate, withdrawn.

8. AF Form 2586, Unescorted Entry Authorization Certificate, annotated.

9. AF Form 2587, Security Termination Statement, completed.

10. Request appropriate Servicing Security Activity, AFOSI, or DIS investigation. Ensure copies of all reports are provided to SPAI for SSF inclusion.

11. Direct and ensure subject receives assistance and counseling as necessary from such agencies as mental health, social actions, chaplains, etc.

12. Provide SPAI with current status until all actions are complete.

13. Judicial/administrative actions complete. (Include support documentation in SSF.) (e.g., letter of reprimand, Article 15, etc.)

14. Reviews and written opinions requested and received from appropriate staff agencies, e.g. personnel, servicing security activity, staff judge advocate, surgeon general, social actions.

15. Closure letter to SP. (Include all actions taken and supported recommendation for or against reinstatement of clearance eligibility.)

Chapter 2

REQUESTING PERSONNEL SECURITY INVESTIGATIONS

Section A--Authority to Request Personnel Security Investigations

2.1. Authorized Requesters. MAJCOM, FOA, or DRU representatives designate activities required to submit requests for personnel security investigations on individuals within the organization to the Defense Investigative Service (DIS). HQ USAF/SPI approves authorized requesters, provides the activity with an authorized requester code, and maintains the list of authorized requesters and their codes. Authorized requesters oversee the management of requests for PSIs, approve requests for tracers, and serve as the base level point of contact with the 497 IG/INS.

2.2. Guidelines for Requesting Investigations. Individuals needing an investigation are asked to submit the required personnel history questionnaire for the level of clearance required to do the job.
2.2.1. The authorized requester maintains a suspense copy of the requested PSI and all other associated information until the investigation is completed.
2.2.2. If an individual PCSs before the PSI is completed, the authorized requester provides the suspense copy of the PSI request and any ASCAS printouts to the gaining base authorized requester. The sending office unit encloses an AF Form 74, Communication Status Notice/Request, with the package. The gaining unit uses this form to acknowledge receipt of the package.

Section B--Utilization of AF Form 2583, Request for Personnel Security Action

2.3. AF Form 2583.
2.3.1. Use the AF Form 2583 to conduct a local files check (LFC) to determine the existence or absence of unfavorable information by reviewing all available records at an individual's base of assignment. See Table 2.1.
2.3.2. The AF Form 2583 is initiated at the member's unit of assignment. The form can be either typed or legibly printed in dark reproducible ink. The AF Form 2583 is normally prepared for (1) requesting an investigation or when one-time access is required, and (2) recording Special Access Program (SAP) authorizations.
2.3.3. Processing and Maintenance. The AF Form 2583 may be processed as explained below and disposed of according to files maintenance and disposition procedures.
2.3.3.1. Prepare an original and two copies of the form when an investigation is required for a security clearance or unescorted entry to restricted areas. Hold one copy in the unit suspense file and destroy it on return of the original. Send the original, in turn, to activities required to search their files for possible derogatory information. Authorized requesters enter in Section VII the date the investigation request was submitted to the DIS. The original is then returned to the member's unit of assignment. The unit of assignment keeps the original until the requested action has been completed. The base authorized requester retains a copy until the requested action is completed, then destroys this copy.
2.3.3.2. Prepare only an original when recording SAP authorizations and keep it at the member's unit of assignment. The AF Form 2583 may be transferred only when the individual remains under the same special access granting authority. In this instance, transfer the AF Form 2583 to the gaining unit through the access granting authority to verify the continued need for special access and to annotate current unit of assignment in Section 1, Item 2.
2.3.3.3. Although many items on the AF Form 2583 are self-explanatory, Table 2.1 provides additional guidance for completion of the form.
2.3.4. The AF Form 2583 need not be completed for civilian applicants for federal employment when local files are unavailable or have not been developed. However, recommend the use of the form or a memorandum for record (MFR) to annotate the date the investigation was submitted to DIS and return the form or MFR to the employee's security manager.

Section C--Types of Investigations

2.4. General Information. The types of PSIs authorized vary in scope to meet the purpose of a particular requirement. The investigations listed below are the only types authorized.

2.5. Investigation for Secret Clearance. A favorably completed entrance national agency check (ENTNAC), national agency check (NAC), or national agency check with written inquiries (NACI) fulfills the minimum investigative requirements for a Secret security clearance for US citizen military members, federal civilian employees, nonappropriated funds (NAF) employees, and OPM consultants. NACI requests are submitted to OPM by CPF. OPM conducts the NACI on federal civilian employees for all departments and agencies of the federal government, pursuant to Executive Order 10450.
2.5.1. Use SF Form 86, Questionaire for National Security Positions and DD Form 1879, Request for Personnel Security Investigation, or the Electronic Personnel Security Questionnaire (EPSQ), to request ENTNAC and NAC investigations. Follow the instructions provided with the form or EPSQ. Transmit electronically to DIS or mail the complete investigation request to: DIS Personnel Investigations Center (PIC), PO Box 1083, Baltimore MD 21203-1083. If you electronically send the investigation, mail only the fingerprint card to the address in this paragraph.

2.6. Investigation for Top Secret Clearance. A favorably completed single scope background investigation (SSBI), special background investigation (SBI), or background investigation (BI) fulfills the minimum investigative requirement for a Top Secret security clearance for US citizen military members, federal civilian employees, NAF employees, and OPM consultants. Although the SBI and the BI are no longer requested, they may still be used as a basis for granting access to Top Secret, depending on the time frame when the last investigation was completed.
2.6.1. The SSBI covers at least a seven year period.
2.6.2. Use SF Form 86 and DD Form 1879 or the EPSQ to request these investigations. Mail to: SSBI Personnel Investigation Center, DIS, P.O. Box 454, Baltimore, Maryland 21203-1083. When electronically transmitting, mail only the fingerprint card to the address in paragraph 2.5.1. If additional documentation is needed to be included with the investigation request, keep the package intact and mail it to address in this paragraph.

2.7. Special Investigative Inquiry (SII). An SII is a post-adjudicative personnel security investigation conducted by DIS to prove or disprove allegations that have arisen concerning a person's conduct in relation to the security standards. Normally, an SII includes an interview with the subject of the investigation.

Section D--Reasons for Investigations

2.8. First-Term Enlistees. An ENTNAC is required for each enlisted member of the Air Force at the time of initial entry into the service. ENTNAC's are normally submitted by the military entrance processing stations (MEPS) located throughout the United States. The ENTNACs are accomplished as soon as the individual enlists (signs the contract) even though the individual may not come directly into active service. An ENTNAC is the basis for Secret clearance eligibility for first-term enlistees.

2.9. Commissioning or Reentry After a Break in Service.
2.9.1. A NAC is the minimum investigative requirement for commissioning a non-prior service officer, ROTC students, and for reentry into service for any military member after a break of 24 months or more. If an officer candidate was the subject of a previous favorable SSBI, SBI, BI, or NAC, and did not have a break in service greater than 24 months, a new NAC is not authorized. Enlisted personnel on active duty when approved to attend Officers Training School (OTS) may be commissioned based on a favorably completed ENTNAC.
2.9.1.1. Essentially, a NAC is a record check of designated agencies of the federal government that maintain record systems containing information relevant to making a personnel security determination. A NAC is also an integral part of the SSBI and periodic reinvestigation (PR) and may be used as the basis for Secret security clearance eligibility.

2.10. Other Investigations. Use SF Form 86 for investigations that are needed for unescorted entry to restricted areas, child care duties, and other sensitive positions not requiring access to classified information.

Section E--Special Access Programs (SAPs)

2.11. General Information. There are certain SAPs originating at the Air Force, national or international levels that require PSIs. A SAP is a program designed to control access, distribution, and ensure protection of particularly sensitive information. The SAP governing directive prescribes the specific investigation requirements. However, as a general rule an SSBI is required for access to Top Secret information, Sensitive Compartmented Information (SCI), Single Integrated Operational Plan--Extremely Sensitive Information (SIOP-ESI), categories one and two, Presidential Support Program, NATO COSMIC Top Secret, AFOSI special agents and support personnel assigned to HQ AFOSI, Air Force personnel assigned to Defense Courier Service, other SAPs, and employment in critical sensitive positions. Generally the following applies when the governing program directive does not prescribe other procedures:
2.11.1. Record access to special program information on the AF Form 2583, Request for Personnel Security Action.
2.11.2. A previous investigation conducted which substantially meets the investigative requirements of an SSBI may serve as a basis for granting access approval with the following provisions:
2.11.2.1. There has been no break in the individual's military service, DoD civilian employment, or access to classified information under the Industrial Security Program longer than 24 months.
2.11.2.2. There is no derogatory or questionable information which would impact on the individual's eligibility for access.
2.11.3. Request an SSBI when: The nominee has never had an SSBI, the prior investigation is over 5 years old (in certain situations), or the nominee has had a break in federal service greater than 24 months since completion of the prior investigation.

2.12. Sensitive Compartmented Information (SCI). The Assistant Chief of Staff, Intelligence (ACS/I), HQ USAF, controls access to SCI and grants it only to persons who meet the stringent personnel security standards in USAFINTEL 201-1. The security manager documents the billet number in Itemof the AF Form 2583. The authorized requester of investigations annotates the billet number from the AF Form 2583 in Item 13 of the DD Form 1879. Request SCI access by adding "through 497 IG/INS, 211 Brookley Avenue, Suite 200, Bolling AFB20332-5108" in the "Return Results To" block on the DD Form 1879. Do not use any other Air Force or DoD agency address on the DD Forms 1879 when SCI access is involved.

2.13. Single Integrated Operational Plan-Extremely Sensitive Information (SIOP-ESI). Brief each person granted access to SIOP-ESI as required by the program directive. Record the briefing and access authorization on the AF Form 2583, Section VI. Persons granting access authorizations must have access to at least the same category of SIOP-ESI as that for which they are granting access.
2.13.1. Debrief persons when their SIOP-ESI access is terminated and complete the AF Form 2587. The access granting agency or unit maintains the AF Form 2587.

2.14. Presidential Support Program (PSP). The presidential support program includes all personnel assigned duties involving regular or frequent contact with or access to the President or Presidential facilities, communication activities, or modes of transportation. The 497 IG/INS establishes operational procedures for the presidential support program and recommends selection of nominees with favorable investigations to the DoD Executive Secretary for final selection. This handbook addresses only the investigative requirements and nomination procedures. DoD 5210.55, Selection of DoD Military and Civilian Personnel and Contractor Employees for Assignment to Presidential Support Activities and DoD 5200.2-R are the governing directives.
2.14.1. Personnel nominated for Presidential Support duties require favorably completed SSBIs The SSBI must have been completed within 12 months preceding the selection. If an individual marries during or after the completion of the SSBI, request the required SAC as outlined in AFI 31-501, paragraph 3.4.3., at that time.
2.14.2. The commander or supervisor of an organization with a current projected vacancy in an authorized Presidential Support position is designated the nominating commander. The nominating commander:
2.14.2.1. Selects the most qualified individual available.
2.14.2.2. Reviews personnel and security records of the individual and certifies findings as shown in Figure 2.1.
2.14.2.3. Obtains a medical certification, from a medical officer, who is a US citizen, as shown in Figure 2.2.
2.14.2.4. Ensures all investigative forms are completed for an SSBI on the individual.
2.14.2.5. Sends the complete file of forms and certifications for the individual under consideration to his or her servicing security activity for further processing.
2.14.3. The servicing security activity of the nominating unit:
2.14.3.1. Submits the request for an SSBI to DIS.
2.14.3.2. Writes, types, or stamps the phrase "YANKEE WHITE" in large, bold letters on the DD Form 1879 in Item 17. Checks the "Presidential Support" block, and indicates the level of clearance required for the position in Item
2.14.3.3. Includes the title of the authorized Presidential Support position and the unit or organization the individual will be assigned to on the DD Form 1879, Item 17.
2.14.3.4 Forwards the commander's nomination memorandum (Figure 2.1) and the statement of medical records screening (Figure 2.2) to the 497 IG/INS at the time the investigation is requested using the transmittal format shown in Figure 2.3.
2.14.3.5. Notifies the 497 IG/INS Presidential Support representative promptly of any changes in the status of the individual or of the nomination.

2.15. Nuclear Weapons Personnel Reliability Program (PRP). The purpose of the nuclear weapons PRP is to make certain each person who performs duties involving nuclear weapons, systems, or critical components meets the highest possible standards of reliability. This is accomplished through the screening and the continual evaluation of affected individuals. The governing directive is DoD 5210.42, Nuclear Weapons Personnel Reliability Program.
2.15.1. Requirements for Critical PRP Positions. These are positions wherein an individual's authorized duties require close physical proximity to a nuclear weapon, or critical components, or both. They require the individual to use technical data pertaining to electrical or mechanical portions of a nuclear weapon or nuclear weapons system, affecting launch, release, or detonation of a nuclear weapon. A favorably completed SSBI is the minimum investigation for initial assignment to a critical PRP position.
2.15.2. Requirements for Controlled PRP Positions. These are positions wherein an individual's duties require entry into a no-lone zone, or require the individual to control entry into a no-lone zone and the member has no technical knowledge pertaining to the launching, releasing, or detonating of a nuclear weapon or critical component. A favorably completed ENTNAC, NAC for first term enlistees, NACI for OPM federal civilian personnel, or higher investigation, is the minimum investigative requirement for initial assignment to a controlled PRP position. OPM federal civilian personnel with a NACI 5 years old are required to have a new NAC from DIS.
2.15.2.1. Use SF Form 86 or the EPSQ to request a NAC for PRP. Follow the instructions provided with the form or EPSQ. In Block I, check "Secret" and "Personnel Reliability Program," and highlight to ensure the NAC is not rejected.
2.15.3. Reservists called to active duty under a Presidential recall can be certified under Contingency, Mobility, and Emergency Operations. This provision does not waive any reliability standards or security clearance requirements for deployed members, it only defers the certification and administrative paperwork requirements.

2.16. North Atlantic Treaty Organization (NATO). Use SF Form 86 or the EPSQ to request a NAC for NATO positions. Follow the instructions provided with the form or EPSQ. In Block I, check "Secret" and "OTHER." Beside "OTHER" print "NATO" to ensure the NAC is not rejected.

Section F--Periodic Reinvestigations (PRs)

2.17. General Information. Individuals will be notified when they are required to submit PRs through their command channels. This applies to military, civilian, contractor, and immigrant aliens. Use the SF Form 86 and the DIS address for an initial investigation. AFI 31-501, Attachment 3, Table A3.3, "Guide For Requesting Periodic Reinvestigations," has been supplemented to implement new procedures. Refer to HQ USAF/SPI 111700Z Aug 95 message, DoD Centrally Directed Periodic Reinvestigation Program, and HQ USAF/SPI Memo, 19 Sep 95, New Periodic Reinvestigation Program. Use these instructions for implementing the PR program. Submit PRs for SAP, presidential support positions, and for NATO in accordance with their governing directives. When individuals are required to submit a PR the following general guidelines apply:
2.17.1. Secret-PR. Use SF Form 86 or the EPSQ to request the Secret-PR. Follow the instructions provided with the form or EPSQ. On the DD Form 1879 check "SECET" and "OTHER." Put in remarks "Secret PR."
2.17.2. PRs for SAP Programs. To ensure the required NAC is not rejected when a current ENTNAC is on file, on the DD Form 1879 check "SECRET" and "OTHER." Put in remarks "SAP-PR." The unclassified SAP name can be mentioned. Requests for SAP PRs will be validated through SAP channels. For additional information refer to AFI 16-701, Special Access Programs.
2.17.3. Top Secret PR. Use SF Form 86 or the EPSQ and the DD Form 1879 to request the investigation. Follow the instructions provided with the forms or EPSQ.

2.18. Supervisory Review. Review of an individual's personnel security questionnaire (PSQ) is not required to comply with the certification requirements of Item 20 of the DD Form 1879. The supervisor's knowledge of any significant adverse information is independent of the information contained on the form. This preserves the privacy of the individual undergoing the specific investigation. The individual's immediate supervisor is certifying to their knowledge of the existence of any significant adverse information.

Section G--No Evidence of Clearance in the Personnel Data System (PDS)

2.19. No Evidence of Clearance Data.
2.19.1. When active duty personnel arrive at their first permanent duty station without evidence of an initiated or completed ENTNAC or NAC on the ASCAS roster, a PTI41B ASCAS tracer is automatically generated to the 497 IG/INS. If no record is found, initiate an ENTNAC or NAC as appropriate.
2.19.2. If no information concerning a valid NACI or higher investigation exists for a civilian employee, CPF requests a new NACI.
2.19.3. ENTNAC requests for USAFR members or applicants are initiated by the individual's Reserve organization. ENTNAC requests for ANG members or applicants are initiated by the appropriate air or detachment commander.
2.19.4. Requests for investigation on individual mobilization augmentees (IMAs) should be submitted by or processed through the unit of assignment (or wherever the IMA is attached).

Table 2.1. Instructions to Complete AF Form 2583, Request For Personnel Security Action.
LINE
A
B
C
 
To Complete
 

Enter

 
Section
Item
 
1
I
1

last, first, middle, and maiden name to agree with military or employment records; if not, explain in Section VII. If no middle name, or initial only, enter "NUN" or "IOU," respectively. Also, enter the maiden name for female personnel.

2
 
2

the unit designation. When the form pertains to non-DoD personnel, enter the unit designation of the sponsoring activity.

3
 
3

grade. Do not change this entry after the form is filed and a change in grade occurs.

4
 
4

social security number.

5
 
5

an "X" in only one block.

6
 
6

day, month, and year of birth, in that order. For example: 10 FEB 1952 or 10 FEB 52; not 10/2/52 or 2/10/52.

7
 
7

city, state, and country of place of birth.

8
II
8

an "X" in only one block.

9
 
9

an "X" in applicable blocks. Check only the highest level of clearance, access, or entry requirement. (See Note 1 for Limited Access Authorization requests.)

Table 2.1. Continued.
LINE
A
B
C
 
To Complete
 

Enter

 
Section
Item
 
10
III
10

activities required to search their records for possible derogatory information from a personnel security standpoint. Medical and security police activities are usually the agencies required to take this action (see Notes 2 and 3).

11
 
11

unit of assignment. Also include the telephone number of the requester, to ensure that immediate contact can be made in the event questions should arise.

12
 
12

date when requester signs the form.

13
 
13

typed name, grade, and title of the unit commander or staff agency chief, or security manager when delegated this authority.

14
 
14

self-explanatory. The signature certifies actions in Note 4 have been complied with.

15
IV
15

self-explanatory (see Note 3).

16
 
16

date when the check is completed.

17
 
17

typed name and grade of base director of medical services (see Note 5).

18
 
18

self-explanatory.

19
V
19

see Notes 2 and 6.

20
 
20

date when the check is completed.

21
 
21

typed name and grade of the chief of servicing security activity, or designees, in the security clearance function or reports and analysis section.

22
 
22

self-explanatory.

23
VI
23

an "X" in applicable blocks. In spaces provided, also include the classification level the member requires access to. Except for sensitive compartmented information (SCI) and the PRP, use Section VII to add any other special access program not covered. SCI is not entered, because the MAJCOM or FOA SCI billet manager centrally manages personnel authorized this access. PRP is not entered, since separate forms are used to administer this program.

24
 
24

self-explanatory.

25
 
25

enter name, grade, and title of one-time access approving official.

26
 
26

self-explanatory.

27
 
27

date when access to special program information is granted.

28
 
28

typed name, grade, and title of special access program certifying official. Only officials authorized by the governing directive may certify this entry. Use Section VII to show coordination action when two or more special access programs are involved, and the same official grants all access requirements. Refer to Chapter 2, Section E, for instructions on specific programs.

29
 
29

self-explanatory.

30
VII
30

self-explanatory (see Note 7 for SCI and Note 8).

NOTES:
1. Send a request letter through channels to the approving authority when non-US nationals or immigrant alien personnel require limited access to Secret or Confidential defense information or unescorted entry to Priority "A," "B," or "C' restricted areas.
2. Complete items 10 through 14 when an investigation or a security clearance is required. The LFC is not required when recording special access program authorizations, unless specified in the governing directive. This guidance also applies to sections IV and V.
3. If derogatory information is recorded in Section VII by the individual, promptly notify the requester and special security file custodians. This action determines if readjudication of the person's eligibility is necessary by the central adjudication facility. This guidance also applies to Section V.
4. Ensure the request process includes a review of the ASCAS roster for evidence of an UIF concerning the member. Also, review personnel records to determine if derogatory information exists from a personnel security standpoint. Check personnel records to confirm other data, such as employment or military service as listed on SF Form 86, when necessary. Persons designated to sign Item 14 of the form must take or confirm these actions. Enter results of these reviews in Section VII.
5. Note that this authority may be delegated to other medical staff personnel who may review medical records and form professional opinions based on the information being evaluated. If no medical records are on file (as for many civil service
Table 2.1. Continued.

employees) annotate the form to that effect. The DD Form 1879 then shows no local medical records were checked and DIS agents check the records.
6. Review the records of the security clearance function and reports and analysis section. If an SSF exists, deny the requested personnel security action pending completion of adjudication actions. In these cases, also enter in Section VII that an SSF
exists. Also, review the remarks section for any other derogatory information reported and evaluate the need to establish an SSF for further adjudication. Enter results of this evaluation in Section VII.
7. Annotate Section VII to reflect the name, title, and date the personal interview was conducted when a SSBI for SCI access is being requested.
8. Annotate Section VII to reflect what document was used to verify citizenship status.

Figure 2.1. Sample Format for Commander's Nomination to a Presidential Support Position.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR CHIEF, SECURITY POLICE

FROM: USE FULL ADDRESS

SUBJECT: Presidential Support Nomination (Title (Grade, Mr., or Mrs.), Full Name, and SSN)

I have personally reviewed the personnel records of the nominee, including any available security or investigative records, and have determined that the individual is fully qualified for the assignment for which nominated. Further, I have no knowledge of, and base law enforcement records do not reveal, any delinquency or criminal activities on the part of the nominee. No actions are pending to deny, revoke, or withdraw any security clearance or access.

The individual is nominated to fill an authorized Presidential Support position as (enter job title) with (enter unit/company and location).

Documents required for further processing and consideration of the applicant are attached. Investigative forms have been checked for proper completion.

Commander's Signature

Attachments:
1. SF Form 86
2. FD Form 258 (FBI Fingerprint Card)
3. (Any other forms required)
4. Statement of Medical Screening

Figure 2.2. Sample Medical Certification for Presidential Support Program.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR

FROM: USE FULL ADDRESS

SUBJECT: Presidential Support Nomination (Medical Screening)

This certifies a qualified medical officer or technician, possessing US citizenship, reviewed the medical records regarding (grade, full name, SSN) and the records contain no information which indicates current or past impaired judgment or reliability (i.e., drug abuse, alcohol abuse, mental or emotional problems, etc.).

NOTE: If an interview by a competent medical officer is required to obtain further information upon which to base the positive recommendation above, include a copy of the medical statement of that interview with this certification.

Medical Officer's Signature

NOTE: If the records do not meet the above criteria, attach a medical statement and/or copies of medical records illustrating the potentially disqualifying information.

Figure 2.3. Sample Nomination File Cover Letter for Presidential Support Program.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR

FROM: USE FULL ADDRESS

SUBJECT: Nomination File--Presidential Support Program

The attached Nomination File of (enter title (grade or Mr./Mrs./Ms.), full name, and SSN), United States Air Force (or company name of contractor), is forwarded for review.

(Enter title and last name) is nominated for assignment (or continued assignment) to an authorized Presidential Support position as (enter job title) with (enter unit/company and location).

These duties are identified as (Category One) (Category Two) requiring completion of a favorable SSBI. The required investigation was requested on (date of DD 1879).

Review certifications for medical, personnel, and security records are attached and revealed no disqualifying information.

I recommend that the above identified individual be further considered for assignment to the activity and duties for which nominated.

Chief, Security Police Signature

Attachments:
1. Nomination Memorandum
2. Medical Records Certification

Chapter 3

AUTOMATED SECURITY CLEARANCE APPROVAL SYSTEM (ASCAS)

3.1. System Operation. This section provides an overview of the ASCAS system and system unique terms used in the management of the ASCAS roster.
3.1.1. The ASCAS is a computer system used to transmit personnel security data from the 497to base level through the PDS. The ASCAS updates the PDS, Defense Civilian Personnel Data System, AFROTC and the Air Force Academy. Action such as recertifying clearance eligibility, tracer processing, and monitoring current clearance eligibility of assigned personnel are accomplished through the ASCAS.
3.1.2. The military ASCAS roster is a product of the BLMPS and the civilian ASCAS roster is a product of the DCPDS. Both rosters are available through the personnel concept-III (PC-III). For further guidance concerning the PC-III, refer to AFMAN 36-2125, Personnel Concept III End Users Manual.
3.1.3. The "SECCLN RIP" Security Clearance Eligibility Record/ASCAS RIP is the abbreviated name for a printout in the base level military personnel system (BLMPS). Records in the DCPDS use the name "RIPSECCLN 3." Because ASCAS RIPs use two different abbreviated PDS titles and because the official title "Security Clearance Eligibility Record" is rarely used, the simplified name "ASCAS RIP" is used for all computer printouts concerning clearance eligibility transactions.
3.1.4. An ASCAS transaction referred to as a PTI41A is an update from the 497 IG/INS updating the base level files. See Figures 3.1 and 3.2.
3.1.5. An ASCAS message referred to as a PTI41B is used to transfer information from the base to the 497 IG/INS. See Figures 3.5 and 3.6.

3.2. ASCAS Roster. The ASCAS Management Information Roster lists personnel security information used by authorized requesters and security managers to manage local PSIs and clearance eligibility. ASCAS rosters provide a means to track pending investigative actions, clearance eligibility actions, identify data record discrepancies, and reflect access requirements.
3.2.1. ASCAS Accuracy. ASCAS users assist in keeping the ASCAS data accurate by identifying and reporting errors. Refer to the ASCAS Trouble-Shooting Matrix at Table 3.1.

3.3. ASCAS Update Procedures. The ASCAS roster needs to be promptly updated as new ASCAS RIPs are received. An up-to-date roster is a valuable security data reference of all members under the cognizance of the unit commander.
3.3.1. The unit security manager or other personnel designated by the commander or staff agency chief compares each new ASCAS roster with the previous monthly roster to verify the accuracy of the following:
3.3.1.1. If there is no security data on the ASCAS roster, it will be updated when the opening notification of an investigation is generated by DIS.
3.3.1.2. Changes may be annotated to update the ASCAS rosters.
3.3.2. Promptly report errors to the servicing security activity authorized requester of PSIs.

3.4. Tracer Actions. For the ASCAS tracer function to be a useful and responsive tool for all users, the system and its products must be understood and all users should follow the same guidelines. This section consolidates the basic rules, thought processes, and principles for making the ASCAS system work.
3.4.1. To use the ASCAS effectively, it is imperative to check your own files and the BLMPS first. The chance of sending an acceptable ASCAS message increases when the authorized requester knows which ASCAS data and personnel identifying data (PID) are in the BLMPS file beforehand.
3.4.2. Maintain copies of investigation requests and other forms relating to the person's investigation until the ASCAS roster has been updated with final investigation/clearance action. See Figure 3.7.
3.4.3. Messages are generated manually or automatically through the BLMPS, DCPDS, or PC-III. There are six manual message lead-ins used:
3.4.3.1. Request Recertification.
3.4.3.2. Request Status.
3.4.3.3. Request Interim.
3.4.3.4. Certificate of Naturalization.
3.4.3.5. SSF Established.
3.4.3.6. Status of SSF.
3.4.4. The lead-ins are mandatory and must be spelled correctly and typed exactly. After the lead-in, include appropriate additional information. Any deviation will cause the ASCAS message to be rejected. No periods are used in the text of the message and two periods are required at the end of the message. Units with PC-III installed submit ASCAS messages using the PC-III.
3.4.4.1. Requests for Recertification. Start with this statement: REQUEST RECERTIFICATION OF SECURITY CLEARANCE ELIGIBILITY.

3.4.4.2. Request Status. Start with this statement: REQUEST STATUS (investigation type) REQUESTED ON (yymmdd). Add one of these statements: [OPENING NOTIFICATION DATED (yymmdd)]...[NO OPENING NOTIFICATION RECEIVED].
3.4.4.3. Request Interim. Start with the lead-in REQUEST INTERIM. Select this statement for military personnel: [TOP SECRET SECURITY CLEARANCE ELIGIBILITY, CURRENT SERVICE AS AF (military status), CURRENT (investigation type) IS ON FILE, NEW (investigation type) REQUESTED ON (yymmdd)]. Select this statement for civilian personnel: [{SECRET}{TOP SECRET}] SECURITY CLEARANCE ELIGIBILITY, CURRENT {(investigation type)} or {LFC (yymmdd)} IS ON FILE, NEW (investigation type) REQUESTED ON (yymmdd), EMERGENCY WAIVER GRANTED BY (grade, name, position) ON (yymmdd) FOR ASSIGNMENT TO {CRITICAL}{NONCRITICAL} SENSITIVE POSITION].
3.4.4.4. Reporting Naturalization. [CERTIFICATE OF NATURALIZATION NUMBER (number) REFLECTS (name of member as it appears on the certificate) BECAME A US NATURALIZED CITIZEN ON (yymmdd) AT (name and location of court), REQUEST ELIGIBILITY...(REMARKS)].
3.4.4.5. Reporting the Establishment of an SSF. SSF ESTABLISHED BY (unit designation and title) ON (yymmdd), (general statement of reason).
3.4.4.6. Reporting Status of an Established SSF. Use this statement--STATUS OF SSF ESTABLISHED ON (yymmdd) IS (status).
3.4.5. Automated Messages. Automated requests for security data are generated from BLMPS or PC-III when an individual is newly assigned with no security data on file. The following message is sent: RECORD ON FILE WITHOUT VALID ASCAS DATA REQUEST CLEARANCE ACTIONS OR INSTRUCTIONS.
3.4.5.1. Automatic requests for security data are generated when the citizenship of an individual is changed in the BLMPS from "Immigrant Alien" to "US Citizen-Naturalized." The following message is sent: CERTIFICATE OF NATURALIZATION VERIFIED CITIZENSHIP CHANGED TO US CITIZEN -NATURALIZED.
3.4.5.2. Automatic requests for security data are generated at base when the citizenship of an individual is changed from "Unknown" to "US Citizen." The following message is sent: RECORD ON FILE WITHOUT VALID ASCAS DATA CITIZENSHIP STATUS CHANGED.
3.4.5.3. Automatic requests are generated in the processing and classification enlistments (PACE) systems when an Air Force accession starts basic military training and no security data is on file. The following messages, as appropriate, will appear: BASIC MILITARY TRAINING ACCESSION NO VALID ASCAS DATA...or OTS ACCESSION NO VALID ASCAS DATA.
3.4.5.4. Automatic requests for security data are generated when a technical training student starts training and no security data is on file. The following message appears: REQUEST STATUS NO ASCAS OPEN NOTIFICATION RECEIVED ON TECHNICAL SCHOOL STUDENT.
3.4.5.5. Automatic notifications are made when the name or the SSN of an individual is changed in the BLMPS. The following messages are sent: NAME CHANGE FROM (former name) or SSN CHANGED FROM (Former SSN).
3.4.6. Message Response from the 497 IG/INS:
3.4.6.1. Automatic Response. Most ASCAS messages are answered automatically. This is why it is important to ensure lead-in statements are exact. Automatic message responses are identified in the first line of the message by "AUTOMATIC MESSAGE # 41B FROM CENTRAL ADJUDICATION."
3.4.6.2. Adjudicator Response. The first line of responses initiated by adjudicators will read: "MESSAGE # 41B FROM HQ 497IG/INSA." Refer to Figures 3.3. and 3.4.

3.5. ASCAS Problem Identification. This section provides basic information to help users in the day-to-day management of the ASCAS and describe possible problems and deviations that may occur.
3.5.1. At Figures 3.8. and 3.9. are samples of PC III and BLMPS ASCAS Management Information Rosters. These samples help recognize data field elements and what constitutes valid ASCAS data. Comparison between ASCAS products and the samples provided can help determine if a problem or deviation has occurred.
3.5.2. Authorized requesters should attempt to resolve all noted errors through a coordinated effort with the local personnel systems manager (PSM). If an error is not resolved in a reasonable period of time, report those errors through command channels to 497 IG/INS.

3.6. Information Gathering. The 497 IG/INS frequently has to obtain information pertaining to changes of names, combinations of names, variations in the spelling of names, and the difference between an individual's current and former name. The 497 IG/INS needs this information to research prior investigative and clearance eligibility information in the DCII.
3.6.1. The 497 IG/INS has a customer support center to provide status of individual's security clearance. Authorized requesters provide a list of individuals authorized to call the 497 IG/INS customer support center. When calling the customer support center, provide the following information:
3.6.1.1. Status (military, civilian, or contractor).
3.6.1.2. Correct spelling of the person's full name and any variation.
3.6.1.3. SSN.
3.6.1.4. Periods of government service (and any breaks in service).
3.6.1.5. Citizenship status.
3.6.1.6. Prior or current investigation and clearance eligibility.

Table 3.1. ASCAS Trouble-Shooting Matrix.
IF
AND
THEN

"CLR INV < ACCESS REQUIREMENT" appears in Error Remarks Column

TS or TS-SAP access is required Submit for an SSBI
"CLR INV < ACCESS REQUIREMENT" appears in Error Remarks Column TS or TS-SAP access is not required Downgrade SAR code in UMD or reassign
"FAVORABLE" appears in the CLEAR ELIG Column and the individual is selected or promoted to a position requiring access The person is a US citizen Favorable adjudication indicates subject was an immigrant alien. If now a citizen, submit naturalized message
"REVOKED", "DENIED", or "RESTRICTED" appears in the Clearance Eligibility Column The person is in a position requiring access to classified information Downgrade the SAR code or reassign to a no access position
"UNKNOWN" appears in the Clearance Eligibility Column
 
Verify with the MPF/CPF. Send message to the CAF requesting status
"INV OPENED" appears in the ASCAS roster It has been opened in excess time Send an ASCAS message to the CAF, requesting status
Invalid codes appear in the ASCAS roster
 
Contact the local Personnel Systems Manager to resolve issue
Invalid codes continue to appear in the ASCAS
 
Direct issue through command after coordination with channels to local PSM CAF
"PEND ADJ" appears on ASCAS roster No information on file within SPS Contact CAF and obtain information or file
The NdA column is 2, refused to sign the SF 312, and the SAR code is 1, 2, 3, or S No SSF on file Establish SSF
"INV CANX" appears in the Clearance Eligibility Column Investigation is still required Submit new investigation.

Figure 3.1. Sample 497 IG/INS RIP--Civilian.

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 95JUN12 12:20 REPORT ON INDIVIDUAL PERSONNEL (PA) AS OF 95JUN12

SECURITY CLEARANCE ELIGIBILITY RECORD
(CIVILIAN)

TO: 9696 MESSKIT REPAIR SQ/OFFICE SYMBOL/MKRSQ/CC

NAME: ADAMS JAMES T.
SSN: 123456789
DATE OF BIRTH: 52AUG10
CITIZENSHIP: US CITIZEN, INCLUDES US NATIONAL
CLEARANCE STATUS: SECRET
DATE OF CLEARANCE: 95FEB18
TYPE OF INVESTIGATION: NACI
DATE OF INVESTIGATION: 94FEB28
POSITION SENSITIVITY: SENSITIVE-NONCRITICAL

SECCLN 3

Figure 3.2. Sample 497 IG/INS RIP--Military.

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 95JUN12 12:20 REPORT ON INDIVIDUAL PERSONNEL (PA) AS OF 95JUN12

SECURITY CLEARANCE ELIGIBILITY RECORD
(MILITARY)

TO: UNIT COMMANDER
9696 MESSKIT/REPAIR SQ/CC

NAME: ADAMS JAMES T
CURRENT GRADE: 2LT
OFFICE SYMBOL: MKRS
DUTY PHONE: 12345
DATE OF BIRTH: 520810
PLACE OF BIRTH: MISSOURI
CITIZENSHIP: BY BIRTH IN UNITED STATES
SSN: 123456789
CLEARANCE STATUS: TOP SECRET
DATE OF CLEARANCE: 95FEB18
TYPE OF INVESTIGATION: BACKGROUND INVESTIGATION
DATE OF INVESTIGATION: 94FEB28
RECORD STATUS: ASSIGNED
RNLTD:

UNIT COMMANDER/SECURITY POLICE, USE THE ASCAS DATA ABOVE TO UPDATE CURRENT ASCAS ROSTER. VERIFY CHANGES ON THE NEXT MONTHLY ASCAS ROSTER. PRINTOUTS WHICH NOTIFY REQUESTERS OF OPENED INVESTIGATIONS MAY BE RETAINED IN SP FILES UNTIL INVESTIGATIONS ARE COMPLETED.

SECCLN

Figure 3.3. Sample ASCAS Message From 497 IG/INS--Civilian.

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 94JUN12 12:20 REPORT ON INDIVIDUAL PERSONNEL (PA) AS OF 94JUN12

MESSAGE #41B FROM HQ 497 IG/INS

TO: CHIEF, SECURITY POLICE

THE FOLLOWING MESSAGE IN RESPONSE TO YOUR INQUIRY/TRACER OR SSF NOTICE HAS BEEN RECEIVED FROM CAF:

MSG #020 FROM HQ 497IG/INSA. A REQUEST HAS BEEN FORWARDED TO OPM FOR A COPY OF THE INVESTIGATION FOR REVIEW.

DATA PRESENTLY ON LOCAL FILES FOR THE INDIVIDUAL ARE:
NAME: ADAMS JAMES T
SSN: 123456789
CITIZENSHIP: US CITIZEN, INCLUDES US NATIONAL
DOB: 52AUG10
SECURITY CLEARANCE DATE:
SECURITY CLEARANCE STATUS: NONE
SECURITY INVESTIGATION TYPE:
SECURITY INVESTIGATION DATE:
UNIT OF ASSIGNMENT: 9696 MESSKIT REPAIR SQ, TINKER AFB OK
POSITION SENSITIVITY: SENSITIVE-NONCRITICAL

SECCLN 2

Figure 3.4. Sample ASCAS Message From 497 IG/INS--Military.

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 94JUN12 12:20 REPORT ON INDIVIDUAL PERSONNEL (PA) AS OF 94JUN12

MESSAGE # 41B FROM HQ 497 IG/INS

TO: CHIEF, SECURITY POLICE

THE FOLLOWING MESSAGE IN RESPONSE TO YOUR INQUIRY/TRACER OR SSF NOTICE HAS BEEN RECEIVED FROM CAF:

AUTOMATIC MESSAGE, #41B906 FROM CENTRAL ADJUDICATION, PT141B RECEIVED REQUESTING SECURITY DATA OR STATUS OF INVESTIGATION, THE CASE IS STILL PENDING.

DATA PRESENTLY ON LOCAL FILES FOR THE INDIVIDUAL ARE:
NAME: ADAMS JAMES T
SSN: 123456789
GRADE: 2LT
CITIZENSHIP: BY BIRTH IN UNITED STATES
DOB: 520810
POB: MISSOURI
SECURITY CLEARANCE STATUS: TOP SECRET
SECURITY CLEARANCE DATE: 85FEB18
SECURITY INVESTIGATION TYPE: BACKGROUND INVESTIGATION
SECURITY INVESTIGATION DATE: 84FEB28
UNIT OF ASSIGNMENT: 9696 MESSKIT REPAIR SQUADRON

SECCLN 2

Figure 3.5. Sample Comeback Copy--Civilian.

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 94JUN12 12:20 REPORT ON INDIVIDUAL PERSONNEL (PA) AS OF 94JUN12

ASCAS TRACER - (COMEBACK COPY)

TO: CHIEF, SECURITY POLICE

A TRACER TRANSACTION HAS BEEN FORWARDED TO CAF THROUGH AFMPC, PER YOUR REQUEST. THE FOLLOWING DATA WERE EXTRACTED FROM LOCAL FILES AND WERE CONTAINED IN THE TRACER:
NAME: ADAMS JAMES T
SSN: 123456789
CITIZENSHIP: US CITIZEN, INCLUDES US NATIONAL
DOB: 52AUG10
SECURITY CLEARANCE STATUS: NONE
SECURITY CLEARANCE DATE:
SECURITY INVESTIGATION TYPE:
SECURITY INVESTIGATION DATE:
UNIT OF ASSIGNMENT: 9696 MESSKIT REPAIR SQ TINKER AFB OK
POSITION SENSITIVITY: SENSITIVE-NONCRITICAL

THE FOLLOWING MESSAGE WAS INCLUDED:

MESSAGE DATE: 92JUN12

THE FOLLOWING REMARKS WERE CONTAINED IN THE TRANSACTION:

940612 REQUEST RECERTIFICATION OF CLEARANCE PRIOR ACTIVE MILITARY SERVICE WITH ARMY FROM 731101 TO 760201. PRIOR CIVIL SERVICE WITH ARMY FROM 761015 TO 850319. PRIOR SECRET CLEARANCE ISSUED 770401 BY ARMY BASED ON NACI - PROCESSED BY OPM DATED 770320. CIVIL SERVICE WITH AIR FORCE FROM 860728 TO PRESENT.

TRACER FLAG IS: YES

SECURITY POLICE RETAIN THIS COMEBACK COPY UNTIL MSG RESPONSE OR NEW CLEARANCE IS RECEIVED FROM CAF.
Figure 3.6. Sample Comeback Copy--Military.

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 94JUN12 12:20 REPORT ON INDIVIDUAL PERSONNEL (PA) AS OF 94JUN12

ASCAS TRACER - (COMEBACK COPY)

TO: CHIEF, SECURITY POLICE

A TRACER TRANSACTION HAS BEEN FORWARDED TO CAF THROUGH AFMPC, PER YOUR REQUEST. THE FOLLOWING DATA WERE EXTRACTED FROM LOCAL FILES AND WERE CONTAINED IN THE TRACER:
NAME: ADAMS JAMES T
SSN: 123456789
CURRENT GRADE: 2LT
CITIZENSHIP: US CITIZEN, INCLUDES US NATIONAL
DOB: 52AUG10
POB: MISSOURI
CLEARANCE STATUS: NONE
DATE OF CLEARANCE:
TYPE OF INVESTIGATION:
DATE OF INVESTIGATION:
UNIT OF ASSIGNMENT: 9696 MESSKIT REPAIR SQUADRON

THE FOLLOWING MESSAGE WAS INCLUDED:

MESSAGE DATE: 92JUN12

THE FOLLOWING REMARKS WERE CONTAINED IN THE TRANSACTION:

920612 REQUEST RECERTIFICATION OF CLEARANCE. PRIOR ACTIVE MILITARY SERVICE WITH AF AS ENLISTED FROM 820106 TO 850109. PRIOR TOP SECRET CLEARANCE ISSUED BY CAF BASED ON SBI BY DIS DATED 820419. DATE CONTINUOUS SERVICE BEGAN IS 820106. NO BREAK IN SERVICE EXCEPT FROM 850109 TO 850130. COMMISSIONED ON 850130.

TRACER FLAG IS: YES

SECURITY POLICE RETAIN THIS COMEBACK COPY UNTIL MSG RESPONSE OR NEW CLEARANCE IS RECEIVED FROM CAF.

SECCLN 1

Figure 3.7. Sample Tracer Letter.

DEPARTMENT OF THE AIR FORCE
AIR FORCE UNIT HEADING

MEMORANDUM FOR 497 IG/INS

FROM: USE FULL ADDRESS

SUBJECT: Request for Verification or Prior Investigation or Clearance Eligibility or Request for Tracer Action

Request verification of prior investigation or clearance eligibility or tracer action on investigative requests:
a. Name: (Last, First, Middle)
b. AKA: (Other names used, to include name variations)
c. SSN:
d. DOB:
e. POB:
f. Citizenship:
g. Category:

(Indicate whether civilian applicant, nonappropriated fund instrumentality (NAFI) employee, contractor, precommission, civilian under AFI 36-2306, Operation and Administration of the Air Force Education Services Program (PA), ROTC cadet, or USAFA cadet)

h. Clearance Eligibility Required:
i. Date of Continuous Service, Government Service Began:
j. Request Tracer: (Type of investigation requested and date of request)
k. Return Results to:
l. Point of Contact and DSN Number:

//Signature Block//
Figure 3.8. Sample Civilian PC-III/BLPS ASCAS Management Information Roster.

CIVILIAN PC-III PERSONAL DATA--PRIVACY ACT OF 1974
ASCAS MANAGEMENT INFORMATION ROSTER

NAME (1) N
GRADE SSN ELIG-STAT (2) INVESTIGATION(3) D
POSN-SENSITIVITY ELIG-DATE DATE SAR (4) DOB A(6)
CLEARANCE REMARKS (7)
CITIZENSHIP (5) UNIT-OFFICE-SYMBOL

BARNES DEBORAH L SECRET NACI
GS-05 20MAY81 05MAY81 13 FEB51 1
NONSENSITIVE
OL IGIG AIR TRAINING CM/ATCIGIL

US CITIZEN, INCLUDES US NATIONAL NO ACCESS REQUIRED; NAC

KONDURIS, TED N TS-SCI SBI
GM-14 17FEB 16NOV88 25JAN43 1
CRITICAL SENSITIVE
TOP SECRET OL IGIG AIR TRAINING CM/ATCSPI

US CITIZEN, INCLUDES US NATIONAL TOP SECRET ACCESS REQUIRED; BI

CIVILIAN ASCAS FIELDS

(1) SELF-EXPLANATORY (3): (5) US CITIZEN BORN IN
NAC THE US
BI US CITIZEN BORN
SBI OVERSEAS OR IN US
SSBI TERRITORY
(2) TOP SEC UNKNOWN CITIZEN BY
SECRET NACI NATURALIZATION
INV REOPN LCF + NAC REQ US NATIONAL
REVOKED NAC + BI REQ IMMIGRANT ALIEN
DENIED NAC + SSBI REQ
PEND ADJ BI-PR (6) BLANK - INDIVIDUAL
UNKNOWN SSBI-PR NOT CONTACTED
INV CANX SSBI + NAC AND IS NOT ELIGIBLE
FAVORABLE BI + NAC FOR ACCESS
INV OPENED SSBI-PR REQ 1 - NdA SIGNED
NO CL REQ SECRET-PR AND LOCALLY
INTRM SEC NAC + WI REQ PROCESSED
INTRM TS NACI + NA 2 - REFUSED TO SIGN
TS INT SCI SF 312 AND IS
DCID 1/14 INELIGIBLE FOR
ACCESS
Figure 3.8. Continued.
(4) BLANK - NO ACCESS 3 - NdA SIGNED &
1 - SECRET ACCESS PERMANENTLY 2 - TOP SECRET FILED
ACCESS
3 - TS/OTHER (7) IMMIGRANT ALIEN
S -SCI ACCESS ESTABLISH SSF
ELIG INV < ACCESS
REQUIRED
NO ELIGIBILITY
SECRET-PR REQUIRED
INTERIM >
12 MONTHS OLD
PR REQUIRED

CIVILIAN BASE LEVEL PERSONNEL SYSTEM (BLPS)

PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 90 AUG 31 12:00 DESIRED LIST (PA) AS OF 94 AUG
31PNC N13005N

ASCAS MANAGEMENT INFORMATION ROSTER 314TAW

NAME (1) ELIG-STAT (2) INVESTIGATION (3) CITIZENSHIP N (6)
POSN-SENSITIVITY (7) REMARKS
GRADE SSAN DATE DATE SAR (4) DOB D
CLEARANCE OFFICE-SYMBOL
A
ADAMS PAUL R SECRET NACI US CITIZEN (5) 1 NONCRITICAL SENSITIVE
GS-09 199999999 86JAN01 85DEC01 1 55JAN01
SECRET 314AMS

Figure 3.9. Sample Military PC-III/BLPS ASCAS Management Information Roster.

MILITARY PC-III
PERSONAL DATA - PRIVACY ACT OF 1974
ASCAS MANAGEMENT INFORMATION ROSTER (BY ALPHA)

I
M DATE PREPARED: 29 APR 94
A [APPLIC: RETRO/ASCRPT 1 MENU: MILITARY ASCAS ROSTERS] (7)(8)(9)
U F N
I L D
F G A
NAME (1) ELIG-STAT (2) INVESTIGATION (3)
CITIZENSHIP (5) F A
GRADE SSAN ELIG-DATE DATE SAR
BIRTHPLACE DOB (6) ASG-AVAIL
CLEARANCE (11) ERROR REMARKS (12) (4) PRP/SCI (10)
DUTY PHONE UNIT/OFF SYMBOL PROJECTED

ALDRIDGE TERRY W SECRET ENTNAC
BY BIRTH US CITIZEN
MSG 123456789 790928 790928 1
IND 561122
SECRET
2050 OL IGIG AIR TRAINING CM /SPI

ANGLETON MARK R SECRET NAC
BY BIRTH US CITIZEN
MAJ 121212121 741126 741126
TEX 540327
SECRET
5396 OL IGIG AIR TRAINING CM /SPI SEP: 921231

BASE LEVEL MILITARY PERSONNEL SYSTEM (BLMPS)
PERSONAL DATA--PRIVACY ACT OF 1974

PREPARED 94 AUG 31 12:00 DESIRE LIST (PA) AS OF 90 AUG 31 PCN N13005N
ASCAS (ASC)
MPF ID LP TAW LITTLE ROCK AR
ASCAS MANAGEMENT INFORMATION ROSTER

(7)(8)(9)
I U F N
M (2) (3) (5) I L D
A ELIG-STAT INVESTIGATION CITIZENSHIP F G A
PROJECTED UNIT OF ASSIGNMENT
DATE DATE SAR BIRTHPLACE DOB ASG-AVAIL PRP DUTY
PHONE CLEARANCE ERROR REMARKS
(1) (4) (6) (10) OFF-SYM (11) (12)
ADAMS NANCY SECRET NAC BY BIRTH US CITIZEN 1
2854ABW
MAJ 199999999 860101 851201 1 ILL 550101 8847788
SECRET

NELSON KENNETH H TOP SEC BI-PR BY BIRTH US CITIZEN
2852SPS
MAJ 299999999 830202 830115 2 FLA 490606 6336461
TS
SPAI
Figure 3.9. Continued.

MILITARY ASCAS FIELDS

(1) SELF-EXPLANATORY (4) BLANK - NO ACCESS (10) A CRIT NW
1 - SECRET ACCESS B - ADMIN CERT
(2) TOP SEC 2 - TOP SECRET ACCESS C - PEND SECURITY
SECRET 3 - TS/OTHER D - CNTL NM
INV REOPN S - SCI ACCESS E - INT CERT-CRIT
REVOKED F ADD DUTY CRIT
DENIED (5) US CITIZEN BORN IN US H - ADD DUTY CONT
PEND ADJ US CIT BORN OVERSEAS OR IN US TERRITORY J - FORMER ERT
UNKNOWN US CITIZEN BY NATURALIZATION L - PEND INTERVIEW
"BLANK" US NATIONAL M - TEMP DECERT
INV CANX IMMIGRANT ALIEN (INTENDING CITIZEN) - DECERT CRIT POS
FAVORABLE Q - PERM DECERT RT
INV OPENED (6): 10 - DENIED REENLISTMENT R -DECERT CONT POS
NO CL REQ 11 - MEMBER IN PHASE I-IV DRUG/ALCOHOL T - INT CERT-CONT
INTRM TS 12 - ACTION UNDER ARTICLE 15 UCMJ V PERM DECERT CON
TS INT SCI 13 - INTERNATIONAL HOLD Z - UNKNOWN
DCID 1/14 16 - ON CONTROL ROSTER
17 - PENDING AFOSI/SP INVESTIGATION (11)NO ACCESS
(3) ENTNAC 19 - REFERRAL EPR SECRET
NAC 20 - ALCOHOL ABUSE REHABILITATION TOP SECRET
BI TS/SCI
SBI (7) BLANK - NO FILE
SSBI 1 - UIF ONLY (12)IMMIGRANT ALIEN
UNKNOWN 2 - UIF + CONTROL ROSTER ESTABLISH SSF
3 - ARTICLE 15/COURTS MARTIAL ELIG INV < ACCESS
REQ
NO ELIGIBILITY
NAC + BI REQ (8) Y - TRACER HAS BEEN SENT (NOT ON PC-III PRODUCT) SECRET-PR REQUIRED
NAC + SSBI REQ INTERIM > 12
MONTHS OLD
BI-PR (9) BLANK - INDIVIDUAL NOT CONTACTED AND IS NOT
ELIGIBLE FOR ACCESS PR REQUIRED
SSBI-PR 1 - NdA SIGNED & LOCALLY PROCESSED
SSBI + NAC 2 - REFUSED TO SIGN SF 312 AND IS INELIGIBLE FOR ACCESS
BI + NAC 3 - NdA SIGNED & PERMANENTLY FILED
SSBI-PR REQ
SECRET-PR
NACI
NACI + NA

ANDREW A. CORSO, Colonel, USAF
Chief of Security Police

GLOSSARY OF REFERENCES, ABBREVIATIONS, ACRONYMS, AND TERMS

References

AFI 10-1101, Operations Security (OPSEC)
AFI 10-1102, Safeguarding Single Integrated Operational Plan (SIOP)
AFI 16-701, Special Access Programs
AFI 31-401, Managing the Information Security Program
AFPD 31-5, Investigations, Clearances, and Access Requirements
AFI 31-501, Personnel Security Program Management
AFI 33-201, The Air Force Communications Security (COMSEC) Program
AFI 33-202, The Air Force Computer Security Program
AFI 33-203, The Air Force TEMPEST Program
AFI 33-204, The C4 Systems Security Awareness, Training, and Education (SATE) Program
AFI 33-209, Operational Security Doctrine for STU IIIs
AFI 34-701, Child Development Program
AFI 36-2005, Appointment in Commissioned Grades and Designation and Assignment in Professional Categories -- Reserve of the Air Force, United States Air Force (Temporary)
AFI 36-2104, Nuclear Weapons Personnel Reliability Program
AFI 36-2306, The Education Services Program
AFI 36-3206, Administrative Discharge Procedures for Commissioned Officers
AFI 36-3208, Administrative Separation of Airmen
AFI 37-132, Air Force Privacy Act Program
AFI 37-133 Volume II, Disposition of Air Force Records - Records Disposition Schedule
AFI 37-137, For Official Use Only (FOUO)
AFR 8-3, USAF Intelligence (USAFINTEL) Specialized Publications
AFMAN 36-2125, Personnel Concept III End Users Manual
DoD 5200.1-R, Information Security Program
DoD 5200.2-R, Personnel Security Program
DoD 5200.22M, Industrial Security Manual (ISM) for Safeguarding Classified Information
DoD 5210.42, Nuclear Weapons Personnel Reliability Program
NATO AC/35-D/1004 (2 Revision), Security Clearance Procedures for NATO Staff
USAFINTEL 201-1, The Security, Use, and Dissemination of Sensitive Comptartmented Information (SCI)

Abbreviations and Acronyms

ACS/I Assistant Chief of Staff/Intelligence
AFI Air Force Instruction
ASCAS Automated Security Clearance Approval System
BI Background Investigation
BLMPS Base Level Military Personnel System
BLPS Base Level Personnel System (Civilian)
CAF Central Adjudication Facility
CPF Civilian Personnel Flight
DCII Defense Central Index of Investigations
DIS Defense Investigative Service
ENTNAC Entrance National Agency Check
EPSQ Electronic Personnel Security Questionnaire
IMA Individual Mobilization Augmentee
LFC Local Files Check
MEPS Military Entrance Processing Station
NAC National Agency Check
NACI National Agency Check with Written Inquiries
NAFI Nonappropriated Fund Instrumentality's
NATO North Atlantic Treaty Organization
NdA Nondisclosure Agreement
OPM Office of Personnel Management
OTS Officer Training School
PCIII Personnel Concept III
PDS Personnel Data System
PID Personnel Identifying Data
POC Point of Contact
PR Periodic Reinvestigation
PRP Personnel Reliability Program
PSI Personnel Security Investigation
PSP Personnel Security Program
PSQ Personnel Security Questionnaire
RIP Report on Individual Personnel
SAC Single Agency Check
SAF/AA Administrative Assistant to the Secretary of the Air Force
SAP Special Access Program
SBI Special Background Investigation
SCI Sensitive Compartmented Information
SII Special Investigative Inquiry
SIOP-ESI Single Integrated Operation Plan-Extremely Sensitive Information
SSBI Single Scope Background Investigation
SSF Special Security File

Terms

ASCAS Message Comeback Copy--A computer print-out or RIP that is produced at the base when an ASCAS message has been input into the BLMPS for transmission via AFPC to the 497 IG/INS.

Auspices of the US Government--An individual outside the limits of the continental United States (CONUS) is said to be under the auspices of the US Government when under the control of, or responsible to some agency of, the US Government. This includes travel of employees of the US Government, such as attaches, consuls, etc., and family members of employees who are present in the country and travel in connection with political, cultural, entertainment, or athletic programs specifically sponsored by the US Government. This does not mean that programs merely approved by the State Department are included.

Automated Security Clearance Approval System (ASCAS)--ASCAS is a method used by the Air Force to transmit and record security clearance eligibility status and investigation status through the PDS.

Base Level Military Personnel System (BLMPS)--Method used to transmit automated personnel data for military personnel. System supports ASCAS.

Base Level Personnel System (BLPS)--Method used to transmit automated personnel data for civilian personnel. System supports ASCAS.

Break in Service--Any break in active employment with a hiring DoD agency, including suspension or termination of service or temporary retirement, whether seniority or pay are affected. This does not include active duty military personnel attending civilian schools from which a service commitment remains. A 24-month continuous break in service invalidates a PSI. A security clearance is immediately invalidated when an individual leaves federal service (including military service) through retirement, separation, discharge, etc. Reserve and National Guard service are considered a break in service for PRP purposes.

Central Adjudication Facility (CAF)--A single facility designated by the head of the DoD Component to evaluate PSIs and other relevant information and to render final personnel security determinations. The 497 IG/INS is the CAF for the Air Force.

Cohabitant--A person living in a spouse-like relationship with the individual requiring access to sensitive compartmented information, but not necessarily dependent on sexual relations.

Critical-Sensitive Position--Includes positions involving any of the following: Access to Top Secret defense information; development or approval of war plans, plans or particulars of future or major special operations of war, or critical and extremely important items of war; investigative duties, the issuance of personnel security clearances, or duty on personnel security boards, computer and/or computer-related positions designated ADP 1, or other positions related to national security, regardless of duties that require the same degree of trust.

Defense Civilian Personnel Data System (DCPDS)--Method used to transmit civilian personnel data to or from an installation. Supports ASCAS.

Defense Clearance and Investigations Index (DCII)--The DCII is the single automated central DoD repository which identifies investigations conducted by DoD investigative agencies and personnel security determinations made by DoD adjudicative authorities.

Defense Investigative Service (DIS)--The single personnel security investigative agency for DoD to include the military departments, defense agencies, and DoD contractors.

Entrance National Agency Check (ENTNAC)--A personnel security investigation scoped and conducted in the same manner as a National Agency Check except that a technical fingerprint search of the file of the Federal Bureau of Investigation is not conducted.

Escorted Entry--A situation where personnel are required to be escorted into a restricted area and kept under surveillance by authorized personnel while in the area.

Espionage Against the United States--Overt, covert, or clandestine activity designed to obtain information relating to the national defense, with intent or reason to believe it will be used to the injury of the United States or to the advantage of a foreign nation. For espionage crimes, see 18 U.S.C. 792-799.

Foreign National--Any person who is neither a citizen nor national of the United States nor an immigrant alien. Also referred to as a non-US national.

497 IG/INS--The 497 IG/INS is the single Air Force centralized adjudicative authority for granting security clearance eligibility for revoking or denying clearance eligibility, the OPR for the Presidential Support Program, and for ASCAS information.

Immediate Family--Includes current spouse; children; natural, adopted, foster, or stepchildren; parents; natural, adopted, foster, or stepparents; and brothers and sisters, either by birth, adoption, or remarriage of either parent.

Immigrant Alien--Any alien lawfully admitted into the United States under an immigration visa for permanent residence.

Interim Clearance Eligibility--Clearance eligibility based on the completion of minimum investigative requirements, granted on a temporary basis, pending the completion of the full investigative requirements.

Installation Records Check--An investigation conducted through the records of all installations of an individual's identified residences for the preceding 2 years before the date of the date of the application. This record check shall include, at a minimum, police (base and/or military police, security office, or criminal investigators or local law enforcement) local files check, Drug and Alcohol Program, Family Housing, Medical Treatment Facility for Family Advocacy Program to include Service Central Registry records and mental health records, and any other record checks as appropriate, to the extent permitted by law.

Limited Access Authorization (LAA)--Authorization for access to Confidential or Secret information granted to non-US citizens and immigrant aliens, which is limited to only that information necessary to the successful accomplishment of their assigned duties and based on a background investigation scoped for 10 years.

Local Agency Check--A review of the criminal, subversive, and intelligence files of police departments, county and parish sheriff's offices, and other law enforcement agencies. It may also include other offices such as the Bureau of Vital Statistics, court records (civil or criminal), credit agencies, and other state or local level records repositories.

Local Files Check--A local check of the security police, medical facility, personnel files, etc., designed to uncover the existence of unfavorable information concerning a person. Provides commanders with initial information on which to base trustworthiness determination and request a PSI.

National Agency Check (NAC)--A personnel security investigation consisting of a records review of certain designated agencies of the Federal Government that maintain record systems containing information relevant to making a personnel security determination, including a fingerprint search of the files of the Federal Bureau of Investigation (FBI). A NAC is also an integral part of each SSBI and PR. A NAC may be used as the basis for Secret clearance eligibility.

National Agency Check with Written Inquiries (NACI)--A personnel security investigation conducted by the Office of Personnel Management (OPM), combining a NAC and written inquiries to law enforcement agencies, former employers and supervisors, references, and schools. A NACI is conducted on federal civilian employees for all departments and agencies of the federal government, pursuant to Executive Order 10450. NACIs meet the investigative requirements for nonsensitive and noncritical-sensitive positions or Secret clearance eligibility.

Nonappropriated Fund Instrumentalities (NAFI) Employees--Personnel hired by the DoD components, compensated from NAFI funds as defined in DoD Directive 1015.1 (reference (j)). This includes temporary employees, 18 years old or older, who work with children.

Nonappropriated Fund Position of Trust--An employee whose duties are fiduciary in nature and require a high degree of trust and integrity to insure the safety of people, protection of money or property or who could directly and adversely affect the mission of the organization.

Noncritical-Sensitive Position--Includes positions that involve access to Secret or Confidential national security materials or information; or duties that may directly or indirectly adversely affect the national security operations of the agency.

Personnel Data System (PDS)--Method used to transmit personnel data from or to an installation. Supports ASCAS.

Period of Investigation--The time period to be covered during the prescribed course of a PSI.

Periodic Reinvestigation (PR)--Conducted to update a BI, SBI, or an SSBI. A PR is a reinvestigation of an individual to evaluate continued eligibility for access to classified information.

Personnel Security--A criterion of security based upon standards which must be met for clearance or assignment to sensitive duties. The allegiance, reliability, trustworthiness and judgment of the individual being considered for such positions must be assessed to ensure that the placement of each individual in such a position is clearly consistent with the interests of national security.

Personnel Security Appeal Panel--Designated representatives review appeals to denials or revocations of security clearance eligibility made by the 497 IG/INS.

Personnel Identifying Data (PID)--The PID is made up of the person's name, date of birth (DOB), place of birth (POB), SSAN, and citizenship status. All 497 IG/INS transactions and products include ASCAS data and PID. The 497 IG/INS does not control PID in the PDS. Personnel activities at base-level control this information.

Preappointment Investigation--An investigation which must be completed on federal civilian personnel prior to their appointment to a sensitive position.

Red Cross Employee--Any US citizen or intending citizen who is employed by the Red Cross on a paid or volunteer basis.

Requester of Personnel Security Investigations--Persons authorized to request PSIs from DIS or OPM. Normally a member of the servicing security activity requests PSIs from DIS and a member of the civilian personnel office requests NACIs from OPM.

Restriction--A restriction is an administrative procedure to annotate the personnel security record of Air Force personnel to indicate the 497 IG/INS has information that could negatively impact security clearance eligibility. The restriction is imposed when the 497 IG/INS is unable to obtain additional information required to make a security determination. A restriction is not an unfavorable or adverse action. It is an administrative indicator that clearance eligibility may not be determined until the 497 IG/INS resolve adjudicative issues relating to a case.

Restricted Area--A legally established military zone under Air Force jurisdiction into which persons may not enter without specific authorization.

Sabotage--An act with intent to injure, interfere with, or obstruct the national defense of the United States by willfully injuring or destroying, or attempting to injure or destroy, any national defense or war material, premise, or utilities, to include human and natural resources. For sabotage crimes, see 182151-2156.

Security Clearance Eligibility--A determination that a person is eligible under the standards of DoD and Air Force personnel security programs for access to classified information.

Sensitive Compartmented Information (SCI)--Classified information concerning or derived from intelligence sources, methods, or analytical processes which must be processed exclusively within formal access control systems established by the Director of Central Intelligence.

Sensitive Position--Any position so designated within the Air Force (or DoD), the occupant of which could bring about, by virtue of the nature of the position, a materially adverse effect on the national security. All civilian positions are designated either critical-sensitive, noncritical-sensitive, or nonsensitive.

Service--Honorable active duty (including attendance at the military academies), membership in ROTC Scholarship Program, Army and Air Force National Guard, Military Reserve Force (including active status and ready reserve), civilian employment in government service, or civilian employment with a DoD contractor involving access under the DoD Industrial Security Program. Continuity of service is maintained with change from one status to another provided no single break in service is greater than 24 months.

Single Agency Check--A check of one or more designated agencies of a NAC.

Single Scope Background Investigation (SSBI)--A PSI covering 10 years of a person's history. It is used to determine acceptability for a Top Secret clearance eligibility, access to specific special access programs, or access to SCI.

Special Investigative Inquiry--A supplemental personnel security investigation of limited scope conducted to update or ensure completeness of a prior investigation or to prove or disprove relevant allegations that have arisen concerning a person upon whom a personnel security determination has been previously made and who, at the time of the allegations, holds a security clearance or otherwise occupies a position requiring a personnel security determination under the provisions of AFI 31-501.

Subversion of Air Force Personnel--Actions designed to undermine the loyalty, morale, or discipline of military and civilian personnel.

Trustworthiness Determination--A determination made by commanders to protect DoD property and places under their jurisdiction. Trustworthiness determinations are not used to decide if a person is eligible for access to classified information or assignment to sensitive duties.

Unescorted Entry--Authority for an individual to enter and move about a restricted area without escort.

Unfavorable Personnel Security Determinations--A denial or revocation of clearance eligibility for access to classified information; denial or revocation of access to classified information; denial or revocation of Special access authorization (including access to SCI); nonappointment to or nonselection for appointment to a sensitive position; nonappointment to or nonselection for any other position requiring a trustworthiness determination; reassignment to a position of lesser sensitivity or to a nonsensitive position; and nonacceptance for or discharge from the armed forces when any of the foregoing actions are based on derogatory information of personnel security significance.

United States Citizen (Native Born)--A person born in one the 50 United States, Puerto Rico, Guam, American Samoa, Northern Mariana Islands, US Virgin Islands; or Panama Canal Zone (if father or mother (or both) was or is, a citizen of the United States).

Z Code--The 497 IG/INS codes the individual's clearance records "Z" in the DCII to reflect the existence of unadjudicated information at the time of an individual's discharge or separation.