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U.S. Department of Energy						NOTICE
	  Washington, D.C.						DOE N 470.3


								 Approved:  7-20-06
								   Expires:  7-20-07

SUBJECT:   RECIPROCAL RECOGNITION OF EXISTING PERSONNEL SECURITY
	   CLEARANCES
	   
1.	OBJECTIVES.  This Notice provides directions for
	implementing actions required by Office of Management and Budget
	(OMB) memorandum Reciprocal Recognition of Existing Personnel
	Security Clearances (12-12-05).  The memorandum, addressed to
	deputies of Executive departments, directs immediate actions to
	be taken to further the goal of significantly improving the
	process for granting access authorizations (security clearances).
	
2.	CANCELLATIONS.  None.
	
3.	APPLICABILITY.
	
	a.	Departmental Elements. Except for exclusions in paragraph
		3c, this Notice applies to all Departmental elements with
		personnel security offices that grant access authorizations for
		Federal and contractor personnel and automatically applies to DOE
		elements created after it is issued.  (See the listing of DOE
		elements in Attachment 1 or online at www.directives.doe.gov)
		
		(1)	The Administrator of the National Nuclear Security
			Administration (NNSA) will assure that NNSA employees comply with
			their respective responsibilities under this Notice.
			
		(2)	In accordance with the responsibilities and authorities
			assigned by Executive Order 12344 and to ensure consistency
			throughout the joint Navy and DOE organization of the Naval
			Nuclear Propulsion Program, the Director of the Naval Nuclear
			Propulsion Program will implement and oversee all requirements
			and practices pertaining to this DOE Notice for activities under
			the Director’s cognizance.
			
	b.	DOE Contractors.  Does not apply.
		
	c.	Exclusions.  None.
		
4.	REQUIREMENTS.
	
	The following apply only to processing a DOE access
	authorization for an individual who has a current security
	clearance granted by another Federal agency and is an
	applicant for a position with DOE as a Federal or contractor
	employee.
	
	Processing of access authorizations for individuals who no
	longer have active security clearances or who are employees
	of other Federal agencies requiring a DOE access
	
	authorization in addition to their existing collateral
	clearances must be completed in accordance with the
	procedures defined in DOE M 470.4-5, Personnel Security,
	dated 8-26-05.
	
	a.	Verification of Existing Clearance.
		
		(1)	Upon determining that an individual for whom access
			authorization is requested may have a security clearance, the
			personnel security office that will make the access authorization
			determination (the processing personnel security office) will
			verify the existing clearance in the Office of Personnel
			Management (OPM) Clearance Verification System (CVS).
			
		(2)	When the CVS shows no information on the individual, the
			personnel security office will submit to the appropriate Agency a
			facsimile of the Interagency Clearance Verification Request form.
			The form and fax numbers for Agency contacts are available online
			at https://opmis.xsp.org.
			
	b.	Permitted Exceptions to Reciprocity.  Certain conditions
		preclude granting an access authorization through the reciprocity
		process.
		
		(1)	The Checklist of Permitted Exceptions to Reciprocity
			(Attachment 2) details conditions under which a reciprocal access
			authorization may not be granted.
			
		(2)	The checklist must be used in all cases in which an access
			authorization based on reciprocity is processed.
			
		(3)	If the answer to any question on the checklist is “yes,”
			processing of the access authorization request under reciprocity
			procedures will be discontinued and the request will be handled
			in accordance with the provisions of DOE M 470.4-5.
			
	c.	Granting a Reciprocal Access Authorization.
		
		(1)	If an individual’s existing security clearance is confirmed
			and no permitted exceptions to the use of reciprocity are
			present, the appropriate access authorization will be granted.
			
		(2)	The processing personnel security office will not request
			that the individual complete a new security questionnaire or wait
			to receive existing background investigations or security
			questionnaires for the individual prior to granting the access
			authorization.
			
		(3)	The office will request a copy of the individual’s most
			recent background investigation immediately from the Agency that
			conducted the investigation.  A copy of the investigation is used
			to document the personnel security file (PSF) and serves as a
			basis for other activities that use the PSF, such as
			counterintelligence file review and the Human Reliability
			Program.
			
	d.	PSF Review.
		
		(1)	A personnel security specialist will screen the background
			investigation upon receipt.  Unless the issues listed below are
			present, no adjudicative procedures are required.
			
		(2)	If any issues that would have precluded granting a
			reciprocal access authorization (i.e., items 1 through 4 on the
			Checklist of Permitted Exceptions) are noted, action to resolve
			the issues will be initiated immediately in accordance with Title
			10 Code of Federal Regulations, 710.9.
			
		(3)	For citizenship issues (i.e., foreign national or dual
			citizenship), the procedures in Chapter VI of DOE M 470.4-5 will
			be applied immediately.  Issues related to citizenship must be
			identified to ensure that DOE is in full compliance with
			international agreements, treaties, and legal restrictions
			pertaining to disclosure of information to citizens of foreign
			countries.
			
5.	RESPONSIBILITIES.
	
	a.	Offices Processing an Individual for Employment should
		notify the processing personnel security office if they have
		reason to believe that the individual may hold an active security
		clearance granted by another Agency and wish to have that
		clearance considered for reciprocity approval.
		
	b.	Processing Personnel Security Offices.
		
		(1)	Verify security clearance data on an individual with an
			active security clearance at another Agency.
			
		(2)	Process access authorization requests for such individuals
			in accordance with the provisions of this Notice.
			
6.	CONTACT.  Questions concerning this Notice should be
	addressed to the Office of Security and Safety Performance
	Assurance at 301-903-4804.
	
BY ORDER OF THE SECRETARY OF ENERGY:

							  CLAY SELL
							  Deputy Secretary

    DEPARTMENTAL ELEMENTS TO WHICH DOE N 470.3 IS APPLICABLE


Office of the Secretary
Departmental Representative to the Defense Nuclear Facilities
Safety Board
National Nuclear Security Administration
Office of the Chief Financial Officer
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Economic Impact and Diversity
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Energy Information Administration
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Human Capital Management
Office of Inspector General
Office of Intelligence and Counterintelligence
Office of Legacy Management
Office of Management
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security and Safety Performance Assurance
Secretary of Energy Advisory Board
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
	   CHECKLIST OF PERMITTED EXCEPTIONS TO RECIPROCITY
						  
 (to be used whenever you make an eligibility determination for
  access to classified information for an individual who has a
current access eligibility based upon the requisite investigation
		   (i.e., ANACI, NACLC, SSBI, or SSBI-PR.)
						  
For the purpose of determining eligibility for access to
classified information, to include highly sensitive programs
(i.e. SCI, SAPs, and Q), as the gaining activity/program for an
individual who has current access eligibility with another
Federal agency or program:

  ·    you cannot request the individual to complete a new security
	questionnaire;
	
  ·    you cannot review existing background investigations for the
	individual;
	
  ·    you cannot review existing security questionnaires for the
	individual;
	
  ·    you cannot initiate any new investigative checks;
	
unless one or more of the questions below can be answered in the
affirmative.

							 Y  N  N/
							 e  o  A
							 s	
											 
1.  Is the existing clearance granted on an interim or	   
temporary basis?									 

2.  Is the investigation upon which the existing		    
clearance is based more than seven years old for TOP		
SECRET, ten years old for SECRET, and fifteen years
old for CONFIDENTIAL?

3.  Is your activity (i.e. the gaining activity) aware	   
(i.e. already in possession) of substantial			    
information indicating that the standards of E.O.
12968 may not be satisfied?

If the individual is being considered for access to a highly
sensitive program (i.e. SCI, SAP or Q) at your activity:

4.  Is the existing access eligibility determination		
based upon a waiver or deviation , or is access			
otherwise subject to conditions?

5.  If applicable, does the individual not satisfy a		
polygraph requirement imposed by the new program, as		
approved by the agency head or deputy?

6.  If applicable, does the individual not satisfy a		
requirement imposed by the new program that does not		
allow any non-U.S. immediate family, as approved by
the agency head or deputy?*

7.  If applicable and approved by OMB, other than for	    
questions 5 and 6 above, does the individual not		    
satisfy an investigative and/or adjudicative
criterion that is additional to the standards set
forth in E. O. 12968*

Items 1 and 2 and 4 through 6 above can be verified by querying
OPM’s Clearance Verification System (CVS), the Department of
Defense’s Joint Personnel Adjudication System (JPAS), or the
Intelligence Community’s Scattered Castles database.  If you do
not have on-line access to the appropriate database, or if the
record is otherwise incomplete, you can fax an “Inter-Agency
Clearance Verification Request” to the appropriate agency.  The
request form and appropriate fax numbers can be found at:
https://opmis.xsp.org
_________________
*Under such circumstances, the completion of an entirely new
security questionnaire is not authorized.  Rather, only
additional – not duplicative – investigative or adjudicative
procedures will be completed.