MCO 5521.3H INTC/PRJ 24 May 1989 MARINE CORPS ORDER 5521.3H From: Commandant of the Marine Corps To: Distribution List Subj: Personnel Security Investigations, Security Clearances, and Access Ref: (a) OPNAVINST 5510.1H (NOTAL) (b) MCO P1100.72 (NOTAL) (c) DCID 1/14 (NOTAL) Encl: (1) Commander's Checklist for Validating Access Eligibility (2) Administrative Codes for Obtaining Clearance Action from the Department of the Navy Central Adjudication Facility (3) Sample Letter of Request for Denial/Revocation for Cause of Security Clearance Report Required: Denial or Revocation of Security Clearance (Report Control Symbol DN-5521-01) (OPNAV5510-6k)) pars. 15g, 18d(3)(b), encl (3) 1. Purpose. To promulgate instructions concerning personnel security investigations, security clearances, and access for Marine Corps personnel. 2. Cancellation. MCO 5521.3G. 3. Relationship to Other Regulations a. Basic policy governing the administration of personnel security investigations, security clearances, and access is contained in reference (a). Familiarity with the contents of reference (a), particularly chapters 20 through 24, is essential to developing an understanding of the supplemental instructions contained in this Order. b. Reference (a) contains policies and procedures governing the Navy and Marine Corps civilian personnel security program. Marine Corps activities employing civilians should submit requests for investigations of civilian personnel per reference (a). Anticipated programs and problems should be coordinated with the servicing civilian personnel office. Inquiries involving civilian personnel matters requiring Headquarters, U.S. Marine Corps attention should be addressed to the Commandant of the Marine Corps (CMC) (MPC-30). The subsequent information contained in this Order is addressed to matters concerning Marine Corps personnel. MCO 5521.3H 24 May 1989 c. OPNAVNOTES in the 5510 series are published periodically to inform commanders of forthcoming changes in security regulations and interpretations of security policy. 4. Definitions a. Security Clearance. An administrative determination by Department of the Navy Central Adjudication Facility (DON CAF) that an individual is eligible for access to classified information of a specific classification category. b. Access. The ability and opportunity to obtain knowledge or possession of classified information. An individual does not have access to classified information merely by being in a place where such information is kept, provided the security measures which are in effect prevent the person from gaining knowledge or possession of such information. c. Need-to-Know. The necessity for access to knowledge of, or possession of classified information in order to carry out official military or other governmental duties. Responsibilities for determining whether a person's duties require access to classified information and whether the person is authorized to receive it, rests upon the holder of the classified information and not upon the prospective recipient. d. Derogatory Information. Information which indicates that permitting access to classified information may not be clearly consistent with the interest of national security and which is of such a nature as to constitute a possible basis for denial or revocation of a security clearance, denial of unescorted entry into security areas, rejection for or separation from military service or employment with the Department of Defense. It includes: (1) Adverse Loyalty Information. Information which reflects unfavorably upon the loyalty of an individual to the United States. (2) Adverse Suitability Information. Information which casts doubts upon an individual's good character, integrity, trustworthiness or reliability, and raises a reasonable doubt that access to classified information would be clearly consistent with the interest of national security, or which might serve as a bar to favorable personnel actions. 5. Policy Governing Security Clearance and Access a. The Secretary of the Navy directed establishment of a central adjudication facility to process personnel security determinations and issue security clearances for the Department of the Navy (less determinations of access to sensitive compartmented information (SCI)). The DON CAF is the sole authority for 2 MCO 5521.3H 24 May 1989 granting, denying, or revoking security clearances for Marine Corps personnel. Commanding officers are responsible for ensuring personnel under their jurisdiction have been properly cleared before access to classified material is granted. The commander should use enclosure (1) to screen individuals prior to requesting clearance/access. No person shall be granted a security clearance unless it is determined that clearance is consistent with the interests of national security. b. Issuance of a security clearance by the DON CAF shall be based on a common sense evaluation of all available information about the individual including a personnel security investigation for the various levels of access, position, or duties. c. A security clearance shall serve to indicate that the person concerned is eligible for access to classified information, should official duties require it. The decision to grant access is a separate, common sense determination made by the commanding officer based on a need-to-know. 6. Clearance Eligibility and Criteria a. Only U.S. citizens are eligible for a security clearance. Limited Access Authorizations (LAA) are obtainable for non-U.S. citizen utilizing the administrative procedures described in enclosure (2), provided the requirements of paragraph 24-6 of reference (a) are met. b. Personnel granted security clearances shall be loyal, of good integrity and character, and such habits and associations as to assure good judgment and discretion in the handling of classified information. Before clearance is granted, certain activities and associations, current or past, of varying degrees of seriousness, warrant appropriate investigation and careful consideration. Immigrant aliens will not be permitted to train for any military occupational specialty (MOS) requiring access to classified information. 7. Request for Personnel Security Investigations a. Requests for personnel security investigations shall be submitted only for appointment or enlistment; when necessary to provide the investigative basis required for the level or kind of access, position, or duties. Before initiating an investigation, the commanding officer shall determine that the individual does not hold a valid investigation which satisfies the requirements; the individual is a U.S. citizen; and personnel, medical, legal, security, and other locally available records do not contain information which clearly indicates that the individual is not a proper candidate for a position of trust. 3 MCO 5521.3H 24 May 1989 b. Personnel shall be screened before a personnel security investigation is initiated to be sure sufficient obligated service remains to warrant investigation. Only in extraordinary circumstances will investigations be requested for Marines with less than 1 year of obligated service remaining. c. Requests for investigation of Marine Corps reservists shall be submitted by the active duty command holding the service records and exercising administrative jurisdiction. d. The preparation and submission of requests for investigation shall conform with paragraph 21-14 and exhibits 21A through 21K of reference (a). When requesting investigations from the Defense Investigative Service (DIS), ensure the clearance requirement, any special access requirement, and the Reporting Unit Code (RUC) are listed on the appropriate request form. An Entrance National Agency Check (ENTNAC) must be initiated for nonprior service personnel through a Military Entrance Processing Station. All derogatory information revealed during the enlistment process that results in a moral waiver must be fully explained in a written summary attached to DD Form 398-2 (National Agency Check). Investigations for prior service personnel enlisting through a Reserve unit shall be accomplished per reference (b), paragraph 4202. e. In those cases where the completed ENTNAC reveals unfavorable information by the Defense Investigation Service (DIS) that is not listed on the DD Form 398-2, it is considered a possible falsification. Any information developed in the investigation that would require a "yes" answer in items 14, 15, and 16B, or any prior military service not listed on DD Form 398-2 must be processed as a possible fraudulent enlistment. When DON CAF receives an ENTNAC requiring clearance that cannot be favorably resolved, the case file will be forwarded to the CMC (MR) for a suitability determination for retention. Upon completion of the suitability determination, the complete case file will be returned to the DON CAF for a final clearance determination. If the information warrants a security denial action, the individual will be afforded due process. The commanding officer will notify the individual in writing that they are restricted from entering an MOS which requires access to classified information and a duplicate copy will be sent to the CMC (MMRB) for filing in the Marine's official military personnel file. f. Validity of Prior Investigations. A satisfactory personnel security investigation (Special Background Investigation (SBI), Background Investigation (BI), National Check with Inquiries (NACI), National Agency Check Agency (NAC), or ENTNAC) completed by an agency of the Federal Government, that meets the investigative requirements of paragraph 21-5 of reference (a), shall remain valid and serve as the basis for the issuance of security clearance unless: 4 MCO 5521.3H 24 May 1989 (1) An individual's continuous service has been interrupted for a period greater than 1 year. (2) Derogatory information concerning the individual becomes available which requires resolution. When a Marine has a valid investigation on record that satisfies the requirements for the level or kind of access, position, or duty now under consideration, another investigation shall not be requested. 8. Interim Clearances. Commanding officers are authorized to grant interim clearances for up to 180 days, provided: a. Marine is a U.S. citizen. b. They require a clearance in the performance of their duties. c. The appropriate investigation has been initiated/completed. d. Screening of service record book/officer qualification record, medical/dental records, local/command records reflect no information which would reflect unfavorably on the individual's loyalty, reliability, or trustworthiness. e. Status/tracer action must be initiated via Joint Uniform Military Pay System/Manpower Management System (JUMPS/MMS) 180 days after submission of a BI, SBI, PR; 100 days for a NAC; and 30 days for an ENTNAC to identify lost or misrouted actions. 9. Commanding Officer Clearance. Each commanding officer or officer in charge shall have a security clearance for the level necessary at the command or unit. If the incoming commanding officer does not have the required clearance eligibility, a request for investigation shall be submitted by the next senior in the chain of command. 10. NATO and CENTO Security Clearances. A final U.S. security clearance, for the equivalent level of classification, is the basis for access to NATO and CENTO classified information. (Clearance is no longer required for NATO restricted information.) Additional certification of clearance is required only when personnel travel overseas on visits which involve access to NATO or CENTO classified information. 11. Nuclear Weapon Personnel Reliability Program (PRP). Investigative requirements for the PRP are based on the sensitivity of the position occupied, which may not reflect the classification level of the information to which the incumbent may have access. Positions in the PRP are designated as Critical or Controlled. 5 MCO 5521.3H 24 May 1989 (See OPNAVINST 5510.162 and MCO 5510.7F (NOTAL) for detailed requirements for the PRP, including interim certification pending completion of investigation and final certification.) 12. Investigative Requirements for Specific Performance of Duty. Access to classified information may not be required for the performance of certain duties although investigation requirements are mandatory. Categories of personnel that require investigations include designated security managers, persons issuing security clearances, and persons selected for Presidential support duties. 13. Reciprocal Acceptance of Clearances a. Once an individual is issued a clearance and the investigation upon which it is based remains valid, that clearance remains valid and will be mutually and reciprocally accepted within the Department of Defense. Temporary additional duty orders should be annotated to reflect clearance held. b. Individuals transferring permanent change of station (PCS) who must attend a school in route to their new duty activity should have their clearance eligibility included on their PCS orders. The commanding officer of the school may then grant an interim clearance, if required, for up to 180 days based upon the orders. However, if the individual will be attending the school in excess of 180 days, the school must request the appropriate clearance from the DON CAF via JUMPS/MMS. 14. Administrative Withdrawal of Clearance. When it is determined by a commander that an individual no longer requires access to classified information, they will terminate access and submit a unit diary entry to the DON CAF requesting termination of the Marine's clearance. The individual will be debriefed as required by paragraph 3-12 of reference (a) and execute a Security Termination Statement (OPNAV 5511/14). Clearance will be administratively withdrawn for Marines upon PCS. 15. Denial or Revocation for Cause of Clearance a. When the DON CAF proposes to deny/revoke a security clearance for personnel who no longer meet the criteria for a clearance, the following procedures will be administered. This process ensures that the individual receives the due process provided for in any adverse personnel security proceeding. The DON CAF will send a letter to the individual's command, indicating the proposed action to either deny or revoke a security clearance. The actual letter of intent (LOI) is addressed to the individual and is an enclosure to the letter for the command. The command will be requested to: (1) Suspend the individual's access to classified information, debriefed as required by paragraph 3-12 of reference (a). 6 MCO 5521.3H 24 May 1989 (2) Deliver the LOI to the individual. Request the individual sign the acknowledgement of receipt and return it to the DON CAF within 30 days. If the individual refuses to sign the acknowledgment, date and return it with the notation "subject refused to sign." Ensure the individual fully understands that the proposed action will become final 90 days from the date of their receipt of the LOI, unless effectively rebutted by the individual. If there will be a significant delay in delivery, or if the letter cannot be delivered to the individual, notify the DON CAF and provide them with the reason for delay/nondelivery. (3) Provide access to the referenced instructions noted in the LOI if requested by the individual. (4) Provide the individual with the addresses of the agencies conducting the investigations upon which information in the LOI is based. The LOI will indicate reports information was taken from. (5) Receive the individual's reply to the LOI if they elect to reply. (6) Receive the individual's request for extension of time to reply, if one is desired. (7) Endorse any requests for extension to the DON CAF with the command's position as to whether or not it should be approved. Extension requested must reach the DON CAF not later than 15 calendar days prior to the original due date. (8) The command is encouraged to endorse the individual's reply to the LOI, to include a recommendation concerning the individual's eligibility for access to classified information. b. The LOI will contain the reasons for the proposed action based on the personnel security criteria identified in reference (a). It will also inform the individual of the potential effect of a final adverse decision (ineligibility for security clearance). The individual may submit any information they wish the DON CAF to consider in reaching a final decision. If the individual elects not to reply, a final decision will be made based on available information and the command's endorsement. The individual has 90 days from the date of receipt of the LOI to submit the reply to the command for endorsement to the DON CAF. This period of time is sufficient to request and receive investigative files and prepare a reply. For these reasons, extensions will be granted only in extraordinary situations. Submission of an extension request does not authorize a delay in submitting the reply unless the extension requested is approved. c. The command will endorse the reply, if submitted, and forward it to the DON CAF within 10 days of receipt from the individual. 7 MCO 5521.3H 24 May 1989 d. The case file, the individual's reply (if submitted), and the command's endorsement will be reviewed in reaching a final decision. If the decision is favorable, the letter of notification to the command and individual will advise that the individual will be eligible to hold a security clearance. If the decision is unfavorable, the letter of notification will state the information provided did not sufficiently mitigate, explain, nullify, or refute the reasons presented for the proposed action. If the final decision is a denial/revocation action, the subject will again be requested to sign an acknowledgment within 10 days of receipt of the final action, and the command must forward the acknowledgment to the DON CAF within 5 days after it is signed. The letter will also inform the individual of the right to appeal the decision to the President, Personnel Security Appeals Board. e. All action regarding a denial/revocation of a security clearance are accomplished in writing only. There are no provisions for a hearing in this administrative process. f. When the Naval Security Group or the Naval Intelligence Command denies or revokes Sensitive Compartmented Information (SCI) access eligibility on a Marine, they will automatically forward that information to the DON CAF for a security clearance determination. The DON CAF will adjudicate for clearance eligibility and grant the clearance or initiate due process proceeding, as appropriate. g. When a military member is adjudged punitive discharge, incarcerated as the result of a conviction for a criminal offense, or declared a deserter, the commanding officer will revoke their security clearance eligibility immediately and without regard to administrative due process. The report of revocation will be forwarded to the DON CAF and the CMC (MMRB). This report is assigned Report Control Symbol DN-552101 (OPNAV 5510-6k). The report will state the specific reason for the revocation and cite this paragraph as authority to forego administrative due process. In situations where an individual has held SCI access, an information copy will be forwarded to the Commander Naval Intelligence Command (COMNAVINTCOM) or Commander Naval Security Group (COMNAVSECGRU), as appropriate. A unit diary entry reporting revocation of the security clearance is also required at this time. A sample letter of request for denial/revocation for cause is contained in enclosure (3). h. Personnel will not be separated from the Marine Corps using this regulation as authority when separation can be effected under administrative (nonsecurity) regulation. The command will be asked to make a suitability/retention in service determination prior to administering the LOI to deny/revoke the security clearance. 16. Reinstatement of Security Clearance. A commanding officer may request reconsideration of a security clearance previously denied or revoked for cause 1 year from the date of the denial/revocation. 8 MCO 5521.3H 24 May 1989 The request should be sent to the DON CAF with a recommendation from the Marine's commander, specifically addressing the issues which resulted in the denial/revocation. The Marine will not be authorized an interim clearance pending the final decision. 17. Granting Access a. While the DON CAF grants all collateral security clearances, the command retains the responsibility for determining eligibility for special access programs. Therefore, once the DON CAF has granted the collateral clearance, the investigative results will be forwarded to the command for the special access determination. b. The authority of commanding officers to grant access to classified information is subject to several restrictions, particularly when it involves immigrant aliens, foreign nationals, emergency conditions, and Reserve personnel. Chapter 24 of reference (a) governs those restrictions and provides appropriate guidance. c. Access to Single Integrated Operational Plan (SIOP) - Extremely Sensitive Information (ESI) Information. Access to SIOP-ESI requires a Top Secret clearance based on an SBI. Access to SIOP information which is not in the ESI category is controlled by the level of clearance required for the classification of the information. d. Access to SCI (1) Billets requiring access to SCI are approved on an individual basis by the COMNAVSECGRU; COMNAVINTCOM, or higher authority. Commands having such billets maintain them under the cognizance of the Special Security Officer (SSO). These commands are notified via separate correspondence by the Department of Defense and Secretary of the Navy. Only those commands are authorized to submit (or direct other commands or persons to submit) investigative requests for subsequent SCI access. The SSO is the sole approving authority within the command for submission of these investigative requests. (2) The investigative requirements for access to SCI also fulfills the investigative requirements for Top Secret clearances per reference (c). (3) The SSO of the activity shall provide the security manager all data identifying the investigation on which SCI access is based and subsequent update information. (4) The following administrative procedures apply to SCI access: 9 MCO 5521.3H 24 May 1989 (a) Commanders will request the issuance of a Top Secret clearance to Marines via unit diary entry. (b) Continuous eligibility for SCI access exists for personnel assigned MOS 26XX or 02XX, provided the individual continues to meet the criteria established in reference (a). (c) When individuals who possess 26XX or 02XX MOS's become ineligible for SCI access, commanders, through the local SSO, will notify the CMC (MM and INT) by NAVGRAM via SSO channels. (d) These instructions in no way change the requirements and conditions to be met prior to granting Top Secret and Special Intelligence (SI) access. These conditions include: 1 Need-to-know. 2 Top Secret clearance requested per enclosure(1). 3 Reference (c) eligibility certified by the COMNAVSECGRU; COMNAVINTCOM; or previous duty station SSO. (e) Units receiving administrative support from another command must coordinate action as required. The Fleet Marine Force headquarters or division/wing SSO may also provide assistance in SI access matters. (f) Personnel nominated for initial submission of an SBI within a command not serviced by an SSO will be provided administrative assistance and guidance from Headquarters Marine Corps. (g) Personnel submitting an initial SBI package will be the subject of a personnel interview conducted by their SSO or commanding officer. The requirement for a personal interview is waived if the subject of the SBI is the commanding officer. 18. Continuous Evaluation of Eligibility for Access a. Commanding officers shall establish a program for the continuous evaluation of eligibility for access to classified information. It is essential that a balanced, systematic, and coordinated internal security program be developed; and management personnel indoctrinated to recognize and discharge their special responsibility. b. Commands will maintain a roster of all personnel granted access to classified information. A review of this roster must be conducted weekly, at a minimum, and compared against unit diary advisories issued by the DON CAF to ensure only those personnel authorized possess access. 10 MCO 5521.3H 24 May 1989 c. Under this program, commands must establish an internal channel for reporting information reflecting on an individual's loyalty, reliability, and trustworthiness from a security perspective. All command elements, particularly administrative, security, legal, medical, and supervisory personnel must understand that information which could place an individual's loyalty, reliability, and trustworthiness in question has to be evaluated from a security perspective. They should be familiar with the adjudication policy in exhibit 22C of reference (a) and alerted that behavior indicating unexplained affluence, financial instability, alcohol and drug abuse, mental or emotional instability, or criminal conduct is potentially significant to an individual's security status. Co-workers have an equal obligation to advise their supervisor or appropriate security official when they become aware of information with potentially serious security significance regarding someone with access to classified information. d. When derogatory or questionable information is acquired about an individual who holds a security clearance, the command will do one of the following: (1) Suspend the Marine's access to classified information, initiate an inquiry/investigation, and submit the appropriate unit diary entry. (2) Suspend Marine's access and forward all derogatory information to the DON CAF by letter, including the commander's recommendation. The report should indicate that the information forwarded is considered sufficient for determination, and that no further inquiry/investigation is pending. The commander will indicate whether or not administrative discharge action has been taken or is being contemplated. Submit the appropriate unit diary entry at this time. (3) In cases where information available to the command is insufficient to warrant suspension of access, or in the borderline cases in which propriety of suspension action is questionable, forward the derogatory information to the DON CAF. The command is also encouraged to include an evaluation or recommendation regarding the subject. Indicate that access has not been suspended pending final determination by the DON CAF. When forwarding information identified in paragraphs (2) and (3) above, the activity should ensure the following information is included: name, grade, social security number, date and place of birth, RUC, MOS, current level of clearance, all reports and any pertinent information pertaining to the incident, and command action. 11 MCO 5521.3H 24 May 1989 (a) Followup Reports. Reports will be submitted to the DON CAF at 60 day intervals if the commander has not taken final action or, as an example, the subject is still pending action by civil court. A summary is needed by the DON CAF until the final action is taken by the commander. (b) Final Reports. At the conclusion of command action, a final report will be forwarded to the DON CAF indicating the action taken (Report Control Symbol DN-5521-01 (OPNAV 5510-6k)). The final report should contain recommendations of the command concerning restoration of the person's access or revocation of the security clearance. It should be forwarded with documentation of the derogatory information attached; i.e., military police reports, commander initiated inquiries, copies of court-martials or Article 15 proceedings, formal or informal investigations, medical reports, or psychiatric evaluation/ examinations. Pending discharge is not considered a final action. Pending appeal is not considered a pending action for reporting purposes to the DON CAF. If the individual is discharged, a copy of the discharge order should be furnished to the DON CAF. The DON CAF will hold the final determination in suspense pending receipt of the final report. e. The Director, DON CAF is the only person designated to restore the authority for access when such access is suspended by the local commander. The Director, DON CAF is the only person designated to restore a clearance when such clearance is suspended. Post adjudication by the DON CAF may also occur as a result of the surfacing of unfavorable or derogatory information provided the DON CAF through other channels. The DON CAF will either revalidate the security clearance, request the command provide additional information or forms to conduct a Special Investigative Inquiry (SII) from the DIS to resolve the issue, or forward an LOI to revoke the individual's security clearance. There is a clear need to assure that, after the personnel security determination is reached, the individual's trustworthiness is a matter of continuing assessment. The responsibility for such assessment must be shared by the commander, security manager, and the individual. 19. Records Disposition. All correspondence and supporting documentation dealing with Denial/Revocation of clearance/access on individuals through the DON CAF will be retained for two years and then destroyed. J. J. WENT Assistant Commandant of the Marine Corps and Chief of Staff DISTRIBUTION: A Copy to: 8145001 12 MCO 5521.3H 24 May 1989 Commander's Checklist for Validating Access Eligibility 1. These instructions were developed to assist the commander in ensuring that only those personnel who are properly cleared posses access to classified information within the command. Any questions arising which are not covered by these instructions may be answered with a review of OPNAVINST 5510.1H, chapter 21-24. a. Determine the level of access required by Marine. b. Determine clearance eligibility of Marine by viewing the Manpower Management System (MMS) Visual Inquiry System JP03 screen. c. If Marine possesses appropriate eligibility, ensure the following: (1) Confirm U.S. citizenship. (2) Review Marine's service record book (SRB)/officer qualification record (OQR), health/dental records, and local records for any derogatory information which would adversely affect eligibility. (3) Submit appropriate unit diary entry. (4) The interim security clearance/access is authorized when the submitted unit diary entry processes at Kansas City central. The interim security clearance/access period is 180 days. (5) Record Marine on unit access roster. d. If Marine does not possess appropriate eligibility, ensure the following: (1) Confirm U.S. citizenship. (2) Review Marine's SRB/OQR, health/dental records, and local records for any derogatory information which would adversely affect eligibility. (3) Review OPNAVINST 5510.1H, paragraph 21-5 to determine investigative requirement. (4) Submit request for appropriate investigation. (5) Submit appropriate unit diary entry. (6) The interim security clearance/access is authorized when the submitted unit diary entry processes at Kansas City central. The interim security clearance/access period is 180 days. (7) Record Marine on unit access roster. ENCLOSURE (1) 1 MCO 5521.3H 24 May 1989 Administrative Codes for Obtaining Clearance Actions from the Department of the Navy Central Adjudication Facility 1. Procedures for obtaining clearance actions for Marine Corps personnel differ from those outlined in OPNAVINST 5510.1, due to Marine Corps automation. Marine Corps clearance actions will be requested by the command via unit diary entry, and adjudicated by the DON CAF. Upon final adjudication, the DON CAF will notify the command via unit diary. All transactions will be recorded on MMS. This enclosure is provided to assist the commander in ensuring proper utilization of MMS in obtaining clearance actions. 2. Requests for clearance actions are made by reporting units having custody of a Marine's record utilizing unit diary Type Transaction Code (TTC) 040 (example: TTC 040 REQ (a) CLNC ACT #). The appropriate code from below will be used. Command Clearance Action Request. This block will contain a code which identifies the type of action requested by the command. A Request Confidential clearance B Request Secret clearance C Request Top Secret clearance D Request Secret clearance (final clearance required for access) E Request Top Secret clearance (final clearance required for access) F Request termination of clearance (administrative withdrawal) G Request termination of clearance for cause (report to follow) H Command revocation of clearance (report to follow) I Request clearance status/record update Use code "G" when information is received on a Marine which could affect their eligibility to maintain a clearance. Forward the derogatory information immediately to DON CAF. Use code "H" when a Marine is adjudged punitive discharge, is incarcerated as the result of a conviction for a criminal offense, or is declared a deserter. The commanding officer will revoke the clearance without regard to administrative due process. Forward a report citing the specific reasons for the revocation to the DON CAF per paragraph 15g of this order. ENCLOSURE (2) 1 MCO 5521.3H 24 May 1989 3. The MMS record contains five blocks which are used by the DON CAF in the clearance process. This data is reported by the DON CAF via unit diary entry (not available for field use). When TTC 041 processes at Kansas City central, an advisory is generated on the Advisory File at the reporting unit having custody of the Marine's record. The codes used are listed in paragraphs a through e below. Upon processing TTC 041 at Kansas City central, the advisory appearing on the reporting unit's advisory file is in the same format as TTC 041. a. Clearance Eligibility. This block will contain one of the following alphanumeric codes which reflects the degree of clearance the member is presently eligible for: A No clearance - investigation reopened B SCI denied C Confidential D Clearance denied E Interim Confidential F SCI revoked - ineligible for clearance G Secret - SCI denied H Secret - SCI revoked I Clearance pending - investigation initiated J No clearance required - file created K Eligible for SIC w/waiver L Restricted to non-sensitive duties/not eligible for sensitive duties M Top Secret only - SCI revoked N Top Secret only - SCI denied O Interim Secret P Interim Top Secret Q No clearance required - favorable investigation R Clearance revoked S Secret ENCLOSURE (2) 2 MCO 5521.3H 24 May 1989 T Top Secret U Interim SCI V Top Secret - SCI eligible W Top Secret - SCI requires adjudication X Action pending Y Pending final adjudication/access suspended Z Adjudicative action incomplete due to loss of jurisdiction 1 LAA Confidential 2 LAA Secret 3 Pending reply to LOI/Statement of Reasons (SOR) 4 Clearance administratively withdrawn b. Current Clearance Authorized. This block will contain one of the following alphanumeric codes which reflects the clearance presently held by the member: A No clearance - investigation reopened B SCI denied C Confidential D Clearance denied E Interim Confidential F SCI revoked - ineligible for clearance G Secret - SCI Denied H Secret - SCI revoked I Clearance pending - investigation initiated J No clearance required - file created K Eligible for SCI w/waiver L Restricted to nonsensitive duties/not eligible for sensitive duties ENCLOSURE (2) 3 MCO 5521.3H 24 May 1989 M Top Secret only - SCI revoked N Top Secret only - SCI denied O Interim Secret P Interim Top Secret Q No clearance required - favorable investigation R Clearance revoked S Secret T Top Secret U Interim SCI V Top Secret - SCI eligible W Top Secret - SCI requires adjudication X Action pending Y Pending final adjudication/access suspended Z Adjudicative action incomplete due to loss of jurisdiction 1 LAA Confidential 2 LAA Secret 3 Pending reply to an LOI SOR 4 Clearance administratively withdrawn c. Type of Investigation. This block will contain a code which reflect the most current investigation completed on the Marine: 1 ENTNAC 2 NAC 3 NAC Plus Written Inquires (NACI) 4 BI 5 SBI 6 NAC plus 10-years service ENCLOSURE (2) 4 MCO 5521.3H 24 May 1989 7 NAC plus SII 8 ENTNAC plus special investigative inquiry 9 Interview Oriented Background Investigation (IBI) 0 Defense NACI A Expanded NAC B Local Records Check (LRC) plus NACI requested C NACI D NAC (or NACI) Plus BI or IBI requested E NAC plus SBI requested F BI/IBI (10-year Scope) G Periodic Reinvestigation of SBI/IBI (PR) H NAC plus partial SBI I Character Investigation (IRS) J Periodic Reinvestigation of SBI/IBI (PR) K Limited Background Investigation (LBI) L Minimum Background Investigation (MBI) M SBI plus current NAC N NACI plus current NAC O SII P IBI/BI plus current NAC Q MBI plus current NAC R LBI plus current NAC S SBI plus current BI/IBI T IBI/BI requested U Unknown V SBI requested W LRC ENCLOSURE (2) 5 MCO 5521.3H 24 May 1989 X MBI - expanded Y LBI - expanded Z NACI plus SII d. Investigative Agency. This block will contain a code which will show the agency which conducted the above investigation: 1 Federal Bureau of Investigation 2 Office of Personnel Management (OPM) 3 Treasury Department 4 State Department 5 Central Intelligence Agency 6 U.S. Army Intelligence and Security Command 7 U.S. Air Force Office of Special Investigations 8 NIS 9 DIS 0 U.S. Army Criminal Investigative Command A Combination of OPM (initial investigation) and DIS (SII) B U.S. Office of Naval Intelligence C U.S. Army Security Agency D U.S. Army Intelligence Agency/Command E U.S. Coast Guard F U.S. Secret Service G Drug Enforcement Administration H Bureau of Alcohol Tobacco and Firearms I Other Z Unknown e. DATE INVESTIGATION COMPLETED. This block will contain the date the Marine's investigation was completed (yymmdd). ENCLOSURE (2) 6 MCO 5521.3H 24 May 1989 Sample Letter of Request for Denial/Revocation for Cause of Security Clearance Report Control Symbol DN-5521-01 (OPNAV 5510-6k) Heading From: Commanding Officer To: Director, Department of the Navy Central Adjudication Facility, Washington Navy Yard, Building 176, Washington, DC 20388-5029 Via: Administrative Chain of Command Subj: REQUEST FOR DENIAL/REVOCATION FOR CAUSE OF SECURITY CLEARANCE; CASE OF PRIVATE JOHN E. DOE 000 00 0000/0000 USMC, DPOB: DD/MM/YY, HOUSTON, TX Ref: (a) MCO 5521.3H (b) OPNAVINST 5510.1H (c) MCO P1900.16C, MARCORSEPMAN Encl: (1) (If necessary) 1. Per reference (a) and (b), it is requested that the (cite level of clearance) clearance be (denied) (revoked for cause) in the case of subject Marine. 2. (Insert here a detailed statement of the facts of the case, including citation of the portion of reference (b) being used as authority. Attach a copy of all reports/information pertaining to the incident per reference (a), paragraph 18d.) 3. (Subject named Marine) is reported under Reporting Unit Code (RUC) 00000 and is being/has been/will be/will not be processed for administrative separation (discharge) by reason of unsuitability/ unfitness/misconduct per (cite appropriate paragraph of reference (c) or has requested discharge for the good of the service to escape trail by courts-martial per reference (c), paragraph 6002. 4. This is an (initial, followup, or final) report. 5. Enclosure (as appropriate) is submitted per reference (a). SIGNATURE Copy to: Marine CMC (MMRB) (New Commanding Officer of Marine, if required) ENCLOSURE (3) 1