Open the required case for the designated position and investigate to the needed tier.
Clearance process · Detailed map
Requirements and investigation tiers
Start with the official need, decide which personnel-vetting path applies, and map the position or contract requirement to the correct investigation tier.
Background investigation backbone
Five stages from an official need to continuing trust
This journey follows the DCSA background-investigation map: position and pathway, open and submit, investigate, adjudicate and review, then authorize access and maintain trust. The government/industry lanes below show how responsibility differs at each stage.
- 1 · Position + pathOfficial duties → potential harm → risk and sensitivity → vetting scenario, tier and form
- 2 · Open + submitCheck prior trust; sponsor the right case; person completes current forms and required identity checks
- 3 · InvestigateDCSA / authorized provider collects, verifies and develops relevant information
- 4 · Adjudicate + reviewAuthorized Government authority makes the required trust or eligibility decision
- 5 · Access + continuous vettingEmployer or mission authority grants only needed access; monitoring and change review continue
Swimlane: actor, action and handoff at each stage
Read left to right. Each row shows what that role owns; the next column is the handoff. On a narrow screen, scroll the map horizontally.
| Role / stage | 1. Define need | 2. Choose route | 3. Open + submit | 4. Investigate | 5. Decide + review | 6. Access + maintain |
|---|---|---|---|---|---|---|
| Position manager / GCA | Document duties and needIdentify the actual official or contract duty and why it requires trust or classified access. No valid requirement → stop this path. | Designate risk + sensitivityUse the position duties, potential harm, Position Designation Tool and current agency rules. Grade/title alone does not set the tier. | Sponsor the requestGovernment agency sponsors its employee. Industry requires a Government requirement through prime/subcontract chain to the performing entity and individual’s duties. | Respond to contract or position clarification if the investigator/security office identifies a gap. | Receive authorized status and resolve employment or contract actions under the applicable process. | Confirm continuing needNotify security of duty, contract, location or affiliation changes; end access when no longer needed. |
| Person / applicant | Confirms the position and assigned duties for which the request is made. | Provides prior-vetting information and identifies breaks or transfers when asked. | Complete current form + releasesSubmit the assigned questionnaire and required identity/fingerprint materials through the approved system. | Cooperate with follow-upAnswer interview and clarification requests; correct or supplement information through the assigned channel. | Receive notice + respondWhen a proposed unfavorable action is issued, follow the notice, response and review rights that apply to this population. | Maintain trustFollow continuous-vetting, training and applicable reporting directions; cooperate with later review. |
| HR / sponsor / FSO | Verify a real hiring, mission or contract basis and determine which authority owns the request. | Check existing recordsConfirm level/tier, investigation scope, CV enrollment and exceptions before duplicate work is requested. | Initiate + completeness reviewOpen the authorized request. Industry FSO review of SF 86 is limited to adequacy/completeness; submit the package to DCSA/ISP. | Route requests for information to the person or appropriate office; track the case without conducting the investigation. | Record the Government’s determination. Employer/FSO does not adjudicate eligibility. | Update affiliation + access recordsCoordinate transfer, upgrade, customer/site access, debrief, termination and required CSA/customer actions. |
| DCSA / authorized ISP | — | Apply authorized intake requirements to the requested case type. | Accept or returnCheck the request for required materials; return incomplete submissions for correction. | Develop the recordConduct authorized checks, inquiries and interviews; identify leads; request clarification or expanded coverage when needed. | Quality + transmitClose investigative work when required coverage is met and send the record to the authorized determining authority. | Provide authorized investigative or CV information through designated systems. |
| CSA / adjudicator / determining authority | — | Confirms which determination and investigative level are needed under its authority. | May authorize a preliminary/interim path only where applicable rules permit and an authorized official makes the decision. | Request more information if neededReturn unresolved matters for clarification or additional investigation. | Make + record determinationFavorable; authorized condition/exception; more information; or proposed/unfavorable action with applicable process. | Review new informationContinuous-vetting alert or material change may lead to inquiry, continued eligibility, condition, suspension, revocation or review. |
| Employer / access authority | — | — | Do not treat an open or pending request as access approval. | — | Check authoritative status; eligibility alone still does not open access. | Authorize only defined accessVerify eligibility, mission/contract need, need-to-know, NDA, briefing and approved system/site. SCI, SAP and other special access require separate decisions. |
Pathway branch: what prior vetting exists?
Check prior trust, scope, level, CV enrollment, exceptions and service gap
Request the additional vetting necessary for the higher tier; do not repeat lower-tier work without need.
Gaining authority verifies investigation level, CV enrollment, exceptions and unique requirements before accepting trust.
Complete only the vetting needed to re-establish the baseline appropriate to the new position, then enroll in CV.
Investigation gate
Coverage complete and material issues developed?
No → RFI / more sources / interview → return to investigationYes → quality review → adjudicator
Determination gate
What decision does the record support?
Favorable → record eligibility / trustMore information → clarification or expansionProposed unfavorable → notice → response → applicable review/appeal
Access gate
Are every applicable access condition and location approval in place?
No → eligibility may exist, but no local accessYes → grant only authorized, need-to-know access
Return loops: incomplete forms return to the applicant or submitting office; uncovered issues return to the investigator for clarification or expansion; unresolved adjudicative concerns follow the applicable notice and review process. A return for information is not itself a denial.
Define the position and select the pathway
Owner: Position manager, sponsor or contracting/customer authority, with personnel-vetting or security staff. Establish an actual job or contractual duty, its potential harm, risk and sensitivity, and whether the decision is suitability, fitness, credentialing, national-security position eligibility, classified eligibility, or a combination.
Scenario: Initial vetting, continuous vetting, upgrade, transfer of trust, or re-establishment after a break. Grade, title or rank alone does not select the tier.
Check prior trust, sponsor and submit
Owner: Authorized agency sponsor/security office, or GCA/eligible prime and contractor FSO for an industry request. Check records, investigation scope, tier, eligibility, continuous-vetting enrollment and exceptions before creating a duplicate request.
Branch: No usable record or lapsed trust → initial/re-establishment; current equivalent trust → validate transfer/reciprocity; lower tier → request only the additional work required for upgrade.
Person: Completes the current questionnaire, releases and required fingerprints. The FSO’s SF 86 role remains the limited adequacy/completeness review required by NISPOM.
Investigate and resolve coverage
Owner: DCSA or another authorized investigative service provider (ISP). Intake checks and investigation steps depend on the requested tier, case type, population and applicable standards.
Loop: Records, sources, interviews and applicant clarification develop the record. If required coverage or a material issue remains unresolved, the ISP requests information or additional investigative work; the submitting office or person responds through the assigned channel.
Adjudicate and provide review rights
Owner: Authorized adjudicative or determining authority—not the applicant, employer, FSO or contracting officer. Apply the standard for the requested determination and evaluate the record under the applicable whole-person or other governing criteria.
Possible outcomes: Favorable; favorable with an authorized condition or exception; request for more information; or proposed/unfavorable action. Notice, response, hearing, appeal and reconsideration routes vary by population and decision type.
Record the decision, authorize access and continue vetting
Owner: Determining authority records trust/eligibility; employer, agency or authorized access holder decides local access. Verify active eligibility at the required level, current mission/contract need, need-to-know, NDA, briefings, and approved systems and locations.
Continue: Continuous vetting, reports, position changes, transfers, upgrades, access reviews and separation actions can trigger follow-up. Eligibility may continue when no local access is authorized; loss of need means access must be withdrawn.
Conditional preliminary/interim branch: An authorized agency or CSA may permit limited temporary access under the applicable standard while the full case continues. It is a separate affirmative decision with limits. Pending status alone never authorizes access.
Position type → investigation tier
Use risk and sensitivity together
DCSA’s current case-type table connects the final position designation to the investigation and form. The agency’s Position Designation Tool and current instructions control a specific case; an investigation tier supports a determination but does not itself grant eligibility or access.
| Position designation | Investigation | Questionnaire | Potential trust / access supported |
|---|---|---|---|
| Non-sensitive · Low risk | Tier 1 (T1) | SF 85 | Low-risk suitability / fitness or credentialing |
| Non-sensitive Public Trust · Moderate risk | Tier 2 (T2) | SF 85P | Moderate-risk Public Trust |
| Noncritical-sensitive · Moderate risk | Tier 3 (T3) | SF 86 | Confidential, Secret or L eligibility, as applicable |
| Non-sensitive Public Trust · High risk | Tier 4 (T4) | SF 85P | High-risk Public Trust |
| Noncritical-sensitive · High risk; Critical- or Special-sensitive · High risk | Tier 5 (T5) | SF 86 | Supports a Top Secret eligibility determination; may provide the investigative basis for SCI or DOE Q access when applicable, subject to separate program/DOE decisions |
Read the designation, not the job title. A noncritical-sensitive position may be Moderate or High risk, and its required tier follows the final designation. DoD’s personnel-security manual specifies Tier 3 investigation at a minimum for military members; assigned duties can require additional vetting. Older investigation names may still appear in records, but the current DCSA case-type table should guide new submissions.
Sources: DCSA Case Types & Forms; Federal Personnel Vetting Guidelines, §§IV.D–E; DoDM 5200.02, §7.6.