BRIEF

Policy Summary

This policy defines the requirements set forth in DOE O. 472.2A Chg.1, Personnel Security, for the Lawrence Berkeley National Laboratory (LBNL) provides an open and collaborative research framework with visitors, affiliates, contractors, and employees from all over the world. As a U.S. Department of Energy (DOE) National Laboratory, LBNL operates within a variety of DOE Safeguards and Security requirements, including those found in DOE Order 472.2A Chg.1, Personnel Security. DOE O 472.2A Chg.1 outlines requirements enabling the DOE to operate a successful, efficient, and cost-effective personnel security program that will provide accurate, timely, and equitable determinations of individuals' eligibility for access to classified information. While LBNL is an unclassified, non-possessing facility, a limited number of staff must hold DOE security clearances and access authorizations. This is necessary for their work supporting the Lab's mission to develop capabilities for the economic, competitive, and national security of the U.S.

Who Should Read This Policy

Laboratory employees with a need for a DOE security clearance to support implementation of Contract 31.

To Read the Full Policy, Go To:

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Contact Information

Security and Emergency Services Division, Personnel Security

POLICY

A. Purpose

This policy defines the requirements for application for, maintenance of, and termination of DOE security clearances associated with Lawrence Berkeley National Laboratory (LBNL) to meet DOE 472.2A Chg.1 requirements.

B. Persons Affected

This policy applies to all LBNL employees who are seeking or holding a DOE security clearance.

C. Exceptions

This policy does not apply to security clearances held outside of LBNL. However, LBNL appointees with security clearances outside of LBNL are required to inform the Site Security Department.

D. Policy Statement

1. General
   1. The objective of the Personnel Security Program is to provide support to employees in obtaining a DOE security clearance and to ensure that clearances are maintained in accordance with applicable requirements documents. The Personnel Security Program is managed by the Security and Emergency Services Division (SES).
      Per the LBNL Facility Clearance, and as outlined in the Controlled and Prohibited Information Categories policy, LBNL and its employees, affiliates, contractors, and visitors are not permitted to create, access, or store classified information at the Laboratory. However, certain LBNL personnel, through performance of the duties of their position, may need access to classified information.
   2. The need for an individual to hold a security clearance must be documented.
   3. At LBNL, there are three criteria for a valid security clearance justification. A justification is considered valid only if it meets at least one of these criteria:
      1. The individual has a current and valid need-to know in order to perform or assist in a lawful and authorized government function, based on a review of the individual’s position description;
      2. The individual is assigned to national security work and projects;
      3. The individual has an immediate and ongoing need to participate in classified discussions either with SC or other DOE Program Offices.
   4. Security clearances cannot be held merely to achieve the following:
      1. To accommodate an individual’s personal convenience, expedience, gain or advantage;
      2. In anticipation of unspecified classified work;
      3. To determine an individual's fitness for employment;
      4. To establish a pool of employees with pre-existing security clearances.
2. Requesting DOE Security Clearance
   1. LBNL will submit a security clearance request to the DOE only after an internal determination confirms the need meets all requirements of this policy. This determination is documented on the official Security Clearance Concurrence form, which must include: a detailed justification meeting, at least one criteria from Section D.1.d, and all required signatures verifying management concurrence.
   2. Once internal approval is received, Personnel Security will work with the applicant to complete their clearance request.
3. Clearance Holder Requirements
   1. Personnel requesting a DOE security clearance are subject to additional requirements. Requesting a clearance through LBNL signifies that the assignee recognizes these requirements and agrees to comply with them explicitly. In accordance with DOE O 472.2A Chg.1, these requirements include, but are not limited to: 
      
      1. Providing all information requested by DOE. including verification of U.S. citizenship.
      2. Submitting to a background check as designated by the Defense Counterintelligence and Security Agency Position Designation Tool.
      3. Submitting to initial and random drug testing.
      4. Submitting to credit and financial reporting.
      5. Notifying Personnel Security of all foreign travel (business and personal).
      6. Signing a nondisclosure agreement.
      7. Completing initial, annual, and travel-based security briefings as required by Personnel Security and Counterintelligence.
      8. Accepting criminal liability for disclosure of any classified information in accordance with applicable laws.
         Note:  Information provided or obtained in connection with a request for a security clearance could potentially result in employment impacts.
   2. In accordance with Security Executive Agent Directive 3 (SEAD 3), all LBNL personnel with access to classified information or holding a sensitive position have specific reporting obligations. This duty applies to both self-reporting and reporting situations concerning any other individual known to hold or be applying for a DOE clearance. Failure to make a required report may result in the suspension or termination of the security clearance.
   3. All personnel who hold a security clearance through LBNL are automatically enrolled in continuous vetting. This process utilizes automated, recurring checks of government and commercial data sources to identify, assess, and resolve potential new security risks in a timely manner. Continuous vetting does not replace the clearance holder's responsibility to self-report reportable items on DOE F. 272.2. 
4. Extensions and Transfers
   1. Security clearances may be extended for access or visits to other departmental facilities, or access to facilities and information held by other entities (e.g., Department of Defense). To extend shared access clearance, the clearance holder can request the necessary form from Personnel Security. The requisite security federal/contractor security offices will coordinate the request.
   2. Transfers occur when a clearance holder or the security clearance will be moved to another security office (e.g., new job at another site or change of projects). Transfers will be coordinated between the federal/contractor security offices through a request to Personnel Security.
   3. Extension and transfer requests must be submitted to the Personnel Security Office at least 30 days in advance of the start date or visitation date.
5. Interim Clearances
   1. In specific, mission-critical situations, LBNL may request temporary (or "interim") clearance eligibility for an individual while their full background investigation is still pending. This process allows an employee to begin sensitive work sooner. All such requests are managed in accordance with the risk-based standards outlined in Security Executive Agent Directive 8 (SEAD 8), Temporary Eligibility.
6. Suspension and Termination
   1. Security clearances may be suspended or terminated for a variety of reasons including:
      1. Failure to cooperate with security requirements.
      2. Failure to report in accordance with section D.4, Reporting Requirements.
      3. Termination of the employee.
      4. Determination that a clearance is no longer required.
      5. Circumstances temporarily eliminate the need to access classified material or SNM for 90 days or more. Note: This may be waived in certain circumstances.
   2. At the termination of the clearance, a Security Termination Statement must be completed and the individual's HSPD-12 badge must be surrendered to Personnel Security. Failure to complete these steps may lead to legal consequences.
7. Reinvestigations
   1. All DOE clearances have a five-year term and a reinvestigation must be initiated in advance of the end of that term to maintain that clearance. Personnel Security will track these reinvestigation dates and let the clearance holder know in advance that they need to initiate a reinvestigation. An updated security clearance concurrent form is required to be completed by the applicant’s supervisor prior to initiating a reinvestigation. Reinvestigations may be initiated at any time by the Cognizant Personnel Security Office (CPSO) if any security concerns are identified.
8. Revalidations
   1. The CPSO and/or LBNL Personnel Security team may initiate a revalidation for clearances as needed. Revalidation of the need for each security clearance is based on the criteria listed in section D.1.d above. 
   2. Failure to revalidate a clearance may result in suspension or termination of the security clearance.

E. Roles and Responsibilities

Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

F. Definitions/Acronyms

G. Recordkeeping Requirements

A personnel security file must be implemented and maintained for the duration of a security clearance, in accordance with the requirements. The personnel security file is maintained in hard copy by the Site Security Department/SES.

H. Implementing Documents

I. Related Policies

J. Contact Information

Security and Emergency Services Division, Personnel Security

K. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• DOE O 472.2A1, Personnel Security
• Security Executive Agent Directive 3, Reporting Requirements for Personnel with Access to Classified Information
• Security Executive Agent Directive 8, Temporary Eligibility
• Contract 31, Clause I.104, DEAR 952.204-2, Security Requirements (Aug 2016) (Deviation PF 2014-09) (Prev. I.159)