Army Publishing Directorate Army Publishing Directorate

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POLICY AND IMPLEMENTATION PROCEDURES, FOR HOMELAND SECURITY PRESIDENTIAL DIRECTIVE 12 HSPD 12. INVESTIGATIONS AND ADJUDICATIONS,Applicability, The policy and procedures outlined in this document apply to Headquarters. Department of the Army Army Commands Army Service Component Commands. Direct Reporting Units field operating agencies staff support activities and all other. organizational entities within the Department of Army including the Army National. Guard Army National Guard of the United States and U S Army Reserve hereafter. referred to as sponsoring activities responsible for issuance of a common access card. CAC to uncleared Army contractor personnel, These policies and procedures do not apply to individuals determined suitable for. Federal employment consistent with the provisions of 5 Code of Federal Regulations. Part 731 reference a or granted eligibility for access to classified information pursuant. to Executive Order 12968 reference b and Department of Defense DoD Regulation. 5200 02 R reference c A complete list of references is at attachment 1 to this. This document establishes HSPD 12 investigative and adjudicative policy and. procedures consistent with references d h to support credentialing determinations for. the issuance of CACs to eligible Army contractor personnel. CAC Eligibility, Army contractor personnel requiring access to DoD controlled installations or facilities. on behalf of the Department of the Army on a recurring basis for a period of 6 months or. more or an individual requiring both access to a DoD controlled installation or facility. and onsite or remote access to DoD or Army controlled information networks are. eligible for a CAC,Background, HSPD 12 mandates a Governmentwide standard for secure and reliable forms of.
identification issued by the Federal Government for physical access to federally. controlled facilities and or logical access to federally controlled information systems. The CAC is the DoD federal personal identity verification credential. The DoD Consolidated Adjudications Facility CAF will conduct centralized. adjudications of favorable HSPD 12 background investigations The DoD CAF will. forward investigations that cannot be favorably adjudicated to the Defense Office of. Hearings and Appeals DOHA for a final credentialing determination. Army Directive 2014 05 Enclosure 1,1 Background Investigation. a Initial issuance of a CAC requires the completion of a Federal Bureau of. Investigation FBI fingerprint check with favorable results and the successful. submission of a National Agency Check with Inquiries NACI equivalent or higher. background investigation to the Army s investigative service provider the U S Office of. Personnel Management OPM via the U S Army Personnel Security Investigation. Center of Excellence reference i, b A final CAC determination requires a favorably adjudicated NACI equivalent or. higher investigation based on the basic and supplemental HSPD 12 credentialing. standards listed in attachments 2 and 3 to this enclosure. 2 Reciprocity Favorable adjudication determinations from another Federal. department or agency will be accepted reciprocally in accordance with the enclosed. standards Reciprocity will be based on final favorable adjudication only Procedures. for determining application of reciprocity are described in this directive. 3 Adjudicative Decisions, a Initial CAC Issuance Sponsoring activities are responsible for granting interim. credentialing decisions to support the initial issuance of a CAC A determination to. issue a CAC on an interim basis is an inherently governmental function and consistent. with reference j it must be made by a Government official who. 1 has a favorably adjudicated background investigation or equivalent or higher. investigation and, 2 has successfully completed formal training via the Center for Development of. Security Excellence online course Introduction to HSPD 12 CAC Credentialing1. b Final CAC Issuance The DoD CAF will render favorable credentialing. determinations except when the background investigation contains unmitigated. derogatory information DOHA will make the final decision on CAC issuance when the. DoD CAF is unable to render a favorable determination. 4 Reconsideration Appeal Individuals will be notified in writing and provided the. opportunity to appeal unfavorable CAC credentialing decisions by DOHA Notification. will be made by an official appointed by the sponsoring activity. a The appointed official will receive and process correspondence from DOHA for. individuals who have received an unfavorable determination The official must have. knowledge of related security or suitability processes The contact information for the. http www cdse edu catalog elearning PS112 html,Army Directive 2014 05 2 Enclosure 1.
appointed official will be provided by email to the Office of the Deputy Chief of Staff G 2. DAMI CD no later than 14 days from the date of this directive. b Individuals may reapply for a CAC 1 year from the date of the final adjudicative. denial or revocation, 5 System of Record All final credentialing determinations will be annotated in the. DoD Case Adjudication Tracking System CATS portal which transmits a record of the. determination to the OPM Central Verification System CVS The OPM CVS is the. system of record for recording final determinations on CAC credentialing. 6 Periodic Reinvestigation Periodic reinvestigation to support continued possession. of a CAC not authorized unless the individual has a 24 month break in Federal service. or Army contractor employment,HSPD 12 Credentialing Procedures. 1 Systems Access Personnel processing HSPD 12 actions for CAC issuance should. follow local procedure to access one or more of the following systems to conduct the. credentialing process, a Joint Personnel Adjudication System JPAS JPAS is the DoD master repository. for the comprehensive management of all security clearance records and adjudicative. determinations for military personnel DoD civilians and contractors Currently JPAS is. not a system of record for HSPD 12 determinations but it will be used in the HSPD 12. credentialing process to determine whether an applicant has already undergone a. favorably adjudicated national security investigation for a security clearance or has an. open investigation, b OPM CVS OPM CVS is a centralized database at OPM that supports reciprocity. and information sharing within the Federal Government OPM CVS captures and. maintains information on all types of investigations and adjudications OPM CVS may. be used to determine if the minimum level of investigation NACI equivalent higher. required by HSPD 12 has been conducted and whether it resulted in a favorable. adjudication Personnel processing HSPD 12 CAC credentialing actions are authorized. read only access to OPM CVS, c Personnel Security Investigation Portal PSIP PSIP is an Army system that.
sponsoring activities use to request background investigations for sponsored applicants. d Electronic Questionnaires for Investigations Processing eQIP OPM s eQIP is a. Web based system designed to facilitate the processing of standard investigative forms. for conducting background investigations,Army Directive 2014 05 3 Enclosure 1. e DoD CATS Portal A subsystem of CATS the portal allows for the DoD CAF to. share determinations and other correspondence with decision makers at sponsoring. activities, 1 A Component Adjudicator role is required to receive HSPD 12 investigation. and adjudication information and record interim credentialing determinations in the. portal The other roles in the portal HR or Security Manager are limited and cannot. be used to perform HSPD 12 actions, 2 The application and instructions for obtaining a Component Adjudicator role. to access the portal are at attachment 4 to this enclosure. 2 Validate Need Army officials processing HSPD 12 actions for CAC issuance must. check OPM s CVS or JPAS before initiating a request for a new investigation These. systems allow the official to determine if the individual already has a favorable. adjudication that meets the HSPD 12 credentialing requirement. a If no record exists of a favorable adjudication that meets the HSPD 12. credentialing requirement the sponsoring activity must ensure that the applicant. submits an eQIP for an NACI investigation fingerprint cards and complete Optional. Form 306 OF 306 Declaration for Federal Employment. b If a system shows that an NACI equivalent or higher investigation exists that. has not been adjudicated and the individual does not have a 24 month break in Federal. service and or Army contractor employment sponsoring activities will coordinate with. the vendor to review Standard Form 85 Questionnaire for Non Sensitive Positions and. OF 306 to determine the individual s continued Federal service or Army contractor. employment The sponsoring activity may contact the DoD CAF directly or use the. portal to request that the DoD CAF to adjudicate the investigation. c An individual whose eligibility for a security clearance was denied or revoked. within the last 2 years may be CAC eligible The sponsoring activity may request a. copy of the report of investigation from OPM2 A review of the report may determine if. the CAC may be issued based on the detailed guidelines including disqualifying and. mitigating factors in attachments 2 and 3, d The DoD CAF will not render an HSPD 12 credentialing determination for an. individual who has a current security clearance or is eligible for one The portal will. show close no action and a DoD CAF notification will be sent to the sponsoring. activity explaining that the close no action rationale means that the individual meets. HSPD 12 credentialing requirements, 3 Reciprocity The Army will accept reciprocally a prior NACI equivalent or higher.
investigation that has been favorably adjudicated by another Federal agency. OPM will send the sponsoring activity an INV Form 79A Report of Agency Adjudication Action when a report of investigation is. requested The sponsoring activity must complete and return the form to OPM to update CVS with the determination. Army Directive 2014 05 4 Enclosure 1, a Sponsoring activities will not readjudicate credentialing determinations for. individuals transferring from another DoD activity Federal department or agency. provided that the, 1 individual s former department or agency verifies possession of a valid. personal identity verification, 2 individual has a favorably adjudicated NACI equivalent or higher suitability. or national security investigation documented in OPM CVS or JPAS. 3 individual has not had a break in Federal service and or Army contractor. employment greater than 24 months and, 4 individual has no derogatory information since the date of the last completed. investigation, b Interim credentialing determinations are not eligible to be transferred or.
reciprocally accepted, c Reciprocity must be based on a favorable adjudication. 4 Credentialing of Non U S Nationals, a Sponsoring activities are required to apply this CAC credentialing process and. adjudication standards at attachments 2 and 3 to non U S national contractor. employees who are eligible for a CAC in accordance with the paragraph entitled CAC. Eligibility on page 1 However special considerations apply to non U S nationals who. are contractor employees at overseas locations, 1 U S Based Locations and U S Territories Other Than American Samoa and. the Commonwealth of the Northern Mariana Islands The U S territories of American. Samoa and the Northern Mariana Islands are not included in the term United States. a Non U S national contractor employees who have resided in the U S or a. U S territory for at least 3 or more consecutive years require an NACI equivalent or. higher investigation after employment authorization is properly verified. b Non U S nationals who have not resided in the U S or a U S territory for at. least 3 or more consecutive years may be issued an alternative facility access identity. credential consistent with Army Regulation 190 13 The Army Physical Security. Program chapter 8 reference k at the discretion of an appropriate agency official. Before an alternative identity credential may be issued. Army Directive 2014 05 5 Enclosure 1, the individual s employment authorization must be verified and. an FBI fingerprint check3 and a U S Citizenship and Immigration Services. Check against the Systematic Alien Verification for Entitlements program. must be conducted with favorable results The FBI fingerprint Special. Agreement Check must be processed on applicable non U S nationals who. have not resided in the U S or a U S territory for 3 or more consecutive. years using the form and instructions in attachment 5 to this enclosure. beginning on page 29,2 At Foreign Locations, a The sponsoring activity must initiate and ensure the completion of a.
background investigation before applying the CAC credentialing standards However. the type of background investigation may vary based on standing treaties or other. international agreements concerning identity assurance and information exchanges that. exist between the United States and its allies or agency agreements with the host. b The background investigation must be consistent with an NACI to the extent. possible and include an FBI fingerprint check unless prohibited by the status of forces. Army Directive 2014 05 6 Enclosure 1 the individual s employment authorization must be verified and and a an FBI fingerprint check3 U S Citizenship and Immigration Services Check against the Systematic Alien Verification for Entitlements program must be conducted with favorable results

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