How a U.S. security clearance works: investigations, the 13 guidelines, and what can derail you
A security clearance is a federal determination, not a right. The levels, the 13 adjudicative guidelines, and the whole-person review, explained.
What is a security clearance, exactly?
A security clearance is a federal determination that a person is eligible for access to classified information. It is granted for a specific position or contract, it belongs to the government rather than the individual, and it can be suspended or revoked. It is not a constitutional right, and there is no entitlement to one.
What are the three clearance levels?
- Confidential and Secret — the lower tiers, generally based on a focused background investigation.
- Top Secret (TS) — requires a more rigorous investigation (today a Tier 5, or T5, investigation under the Trusted Workforce 2.0 personnel-vetting model), with continuous vetting replacing the older periodic reinvestigation.
- TS/SCI and Special Access Programs — additional criteria and continuous evaluation on top of TS.
Who investigates and who decides on a clearance?
For most executive-branch jobs and contractor roles, the background investigation is run by the Defense Counterintelligence and Security Agency (DCSA). DCSA also adjudicates the large majority of federal eligibility determinations — on the order of 95 percent — covering Department of Defense personnel, cleared industry under the National Industrial Security Program, and other agencies that have agreed to use its services. For many other agencies, the sponsoring agency’s own security office adjudicates. The Office of Personnel Management (OPM) issues the suitability regulation for federal employment (5 CFR Part 731), a related but separate question from clearance eligibility; oversight of suitability was consolidated under the Director of National Intelligence by Executive Order 13467.
Applicants complete the SF-86, the Standard Form for national-security positions, which asks about residence, employment, foreign contacts, finances, and conduct.
What are the 13 adjudicative guidelines?
Eligibility is weighed under the adjudicative guidelines issued in Security Executive Agent Directive 4 (reflected at 32 CFR Part 147). The thirteen areas are:
- Allegiance to the United States
- Foreign influence
- Foreign preference
- Sexual behavior
- Personal conduct
- Financial considerations
- Alcohol consumption
- Drug involvement
- Psychological conditions
- Criminal conduct
- Handling protected information
- Outside activities
- Use of information technology systems
What is the whole-person concept?
The guidelines are meant to be applied together, not as a checklist of automatic bars. An adjudicator considers the nature, extent, and seriousness of any concern, how long ago it occurred, and whether it has been mitigated. Paid-off old debt, a distant single incident, or completed treatment can be mitigated; ongoing or concealed issues are far harder to overcome.
Why doesn’t state law help with a clearance?
Because clearance is a federal matter, state law and state legalization do not control eligibility. The clearest example: marijuana remains unlawful under federal law, so state legalization may be weighed as mitigation in some cases but does not make use permissible for federal eligibility. Foreign contacts, dual citizenship, and unresolved financial obligations are judged under the federal guidelines, not state rules.
What is the bottom line on clearances?
A clearance is a discretionary federal eligibility decision, not a right. The investigation is typically run by DCSA, the decision by the sponsoring agency, and the weight turns on the 13 guidelines applied through a whole-person, mitigation-focused review.
This article is general legal information, not individualized legal advice. Clearance rules and agency practice vary; consult the relevant agency’s official security office or qualified counsel for a specific situation.
Frequently asked questions
- Is a security clearance a right or an entitlement?
- No. A clearance is a discretionary determination that an individual is eligible for access to classified information, made by the federal agency that owns the position. There is no constitutional right to one, and an applicant can be found ineligible even with no criminal record.
- Who actually investigates and who decides?
- For most executive-branch and contractor positions, the background investigation is conducted by the Defense Counterintelligence and Security Agency (DCSA), and DCSA also adjudicates the large majority of federal eligibility determinations — roughly 95 percent, covering Defense personnel, cleared industry, and agencies that use its services. For many other agencies, the hiring or sponsoring agency's own security office adjudicates. The Office of Personnel Management issues the suitability regulation for federal employment.
- What are the 13 adjudicative guidelines?
- The guidelines used to weigh security concerns are set out in Security Executive Agent Directive 4 (and reflected in 32 CFR Part 147). They cover allegiance to the U.S., foreign influence, foreign preference, sexual behavior, personal conduct, financial considerations, alcohol consumption, drug involvement, psychological conditions, criminal conduct, handling protected information, outside activities, and misuse of information technology.
- Does a past mistake automatically disqualify me?
- Not automatically. Adjudicators apply a 'whole-person' review and weigh whether a concern can be mitigated — for example, old debt that is now paid, or drug use long in the past, may be mitigated. The guideline is a factor to weigh, not a per se bar, though some issues are harder to mitigate than others.
- If marijuana is legal in my state, does that protect my clearance?
- No. Clearance eligibility rests on federal law, and marijuana remains illegal under federal law. State legalization may be considered as a mitigating factor in some cases, but it does not make the conduct permissible for federal eligibility purposes, and ongoing use is a serious concern.
Sources
Each source is a primary or official reference, checked before publication. Links open the original.
- Defense Counterintelligence and Security Agency (DCSA) — conducts the majority of federal background investigations for clearance and contractor positions; the eligibility decision is made by the sponsoring agency's security office — dcsa.mil
- U.S. Office of Personnel Management (OPM) — issues the suitability regulation for federal employment (5 CFR Part 731); suitability oversight was consolidated under the Director of National Intelligence by Executive Order 13467 — opm.gov/policy-data-oversight/employee-relations/background-investigations-and-credentialing
- Security Executive Agent Directive 4 (SEAD-4) and 32 CFR Part 147 — the thirteen adjudicative guidelines used to weigh security concerns in clearance eligibility — ecfr.gov/current/title-32/subtitle-A/chapter-I/subchapter-D/part-147
- Executive Order 12968 (as amended) — governs access to classified information and the eligibility-adjudication framework — govinfo.gov