Security Clearance Process Guide

DoD contractor employees: DoD Directive 5220.6

Enclosure 3 of DoD Directive 5220.6 sets out the procedure the Defense Office of Hearings and Appeals (DOHA) follows for contractor employees, from the Statement of Reasons through hearings and appeals.

DCSA states that its Security Review Proceedings (step 4 of the civilian and military track) apply to any contractor personnel whose eligibility for access to Sensitive Compartmented Information (SCI) is adjudicated by DCSA, and that cleared contractor personnel who are adjudicated for collateral access eligibility (Confidential, Secret, Top Secret) are not affected. (DCSA, Security Review Proceedings FAQ, question 3)

1. Step 1. Statement of Reasons (SOR)

   After a case is referred to DOHA, DOHA decides whether to grant or continue the clearance, to issue a Statement of Reasons (SOR) as to why doing so is not clearly consistent with the national interest, or to take interim actions. A letter of instruction sent with the SOR explains that the applicant or Department Counsel may request a hearing.

   Time frame, as written

   • Upon referral, the DOHA shall make a prompt determination whether to grant or continue a security clearance (DoDD 5220.6, Encl. 3, E3.1.2)

   Source: DoDD 5220.6, Encl. 3, E3.1.2 and E3.1.3

   Related pages

   • Statement of Reasons
   • What to Do After Receiving a Statement of Reasons

2. Step 2. Written answer to the SOR

   The applicant submits a detailed written answer under oath or affirmation that admits or denies each listed allegation; a general denial or other similar answer is insufficient. To be entitled to a hearing, the applicant specifically requests one in the answer.

   Time frame, as written

   • The answer must be received by the DOHA within 20 days from receipt of the SOR.
   • Requests for an extension of time to file an answer may be submitted to the Director, DOHA, or designee, who in turn may grant the extension only upon a showing of good cause.

   Source: DoDD 5220.6, Encl. 3, E3.1.4

   Related pages

   • How to Respond to a Security Clearance SOR
   • Security Clearance Mitigation

3. If no hearing is requested

   Step 3. Decision on the written record

   An Administrative Judge decides the case on the written record. Department Counsel provides the applicant with a copy of all relevant and material information that could be adduced at a hearing, and the applicant may submit a documentary response.

   Time frame, as written

   • If the applicant has not requested a hearing with his or her answer to the SOR and Department Counsel has not requested a hearing within 20 days of receipt of the applicant's answer, the case shall be assigned to the Administrative Judge for a clearance decision based on the written record.
   • The applicant shall have 30 days from receipt of the information in which to submit a documentary response setting forth objections, rebuttal, extenuation, mitigation, or explanation, as appropriate.

   Source: DoDD 5220.6, Encl. 3, E3.1.7

   Related pages

   • DOHA Written Decision / FORM Process

4. If a hearing is requested

   Step 4. Hearing before an Administrative Judge

   If the applicant or Department Counsel requests a hearing, an Administrative Judge decides the case on the hearing record. The applicant appears in person, with or without counsel or a personal representative, at the time and place set in the notice of hearing, and a verbatim transcript is made of the hearing.

   Time frame, as written

   • The applicant shall have a reasonable amount of time to prepare his or her case. (DoDD 5220.6, Encl. 3, E3.1.8)
   • The applicant shall be notified at least 15 days in advance of the time and place of the hearing (DoDD 5220.6, Encl. 3, E3.1.8)

   Source: DoDD 5220.6, Encl. 3, E3.1.8 and E3.1.24

   Related pages

   • Security Clearance Hearing
   • DOHA Security Clearance Hearing
   • DOHA Hearing Process
   • Preparing for a DOHA Hearing

5. Step 5. The Administrative Judge's written decision

   The Administrative Judge issues a written clearance decision setting forth findings of fact, policies, and conclusions as to the allegations in the SOR, and whether it is clearly consistent with the national interest to grant or continue a security clearance. The applicant and Department Counsel each receive a copy.

   Time frame, as written

   • The Administrative Judge shall make a written clearance decision in a timely manner

   Source: DoDD 5220.6, Encl. 3, E3.1.25

   Related pages

   • DOHA Security Clearance Decisions

6. Step 6. Notice of appeal to the Appeal Board

   The applicant or Department Counsel may appeal the Administrative Judge's clearance decision by filing a written notice of appeal with the Appeal Board. A notice of cross-appeal may also be filed.

   Time frame, as written

   • The applicant or Department Counsel may appeal the Administrative Judge's clearance decision by filing a written notice of appeal with the Appeal Board within 15 days after the date of the Administrative Judge's clearance decision.
   • A notice of appeal received after 15 days from the date of the clearance decision shall not be accepted by the Appeal Board, or designated Board Member, except for good cause.
   • A notice of cross-appeal may be filed with the Appeal Board within 10 days of receipt of the notice of appeal.

   Source: DoDD 5220.6, Encl. 3, E3.1.28

   Related pages

   • DOHA Appeal
   • Security Clearance Appeal

7. Step 7. Appeal brief

   The appeal brief states the specific issue or issues being raised and cites specific portions of the case record supporting any alleged error. The Appeal Board is provided the case record, and no new evidence is received or considered.

   Time frame, as written

   • After filing a timely notice of appeal, a written appeal brief must be received by the Appeal Board within 45 days from the date of the Administrative Judge's clearance decision. (DoDD 5220.6, Encl. 3, E3.1.30)
   • A written reply brief, if any, must be filed within 20 days from receipt of the appeal brief. (DoDD 5220.6, Encl. 3, E3.1.30)

   Source: DoDD 5220.6, Encl. 3, E3.1.29 and E3.1.30

   Related pages

   • DOHA Appeal

8. Step 8. Appeal Board decision

   The Appeal Board issues a written clearance decision addressing the material issues raised on appeal. It may affirm the Administrative Judge's decision, remand the case to an Administrative Judge to correct identified error, or reverse the decision if correction of identified error mandates such action.

   Source: DoDD 5220.6, Encl. 3, E3.1.33

   Related pages

   • DOHA Security Clearance Decisions

9. Step 9. After a final decision

   Clearance decisions issued by Administrative Judges and the Appeal Board are indexed and made available in redacted form to the public. After a final denial or revocation by DOHA, a later reapplication is made initially by the applicant's employer.

   Time frame, as written

   • An applicant whose security clearance has been finally denied or revoked by the DOHA is barred from reapplication for 1 year from the date of the initial unfavorable clearance decision. (DoDD 5220.6, Encl. 3, E3.1.37)

   Source: DoDD 5220.6, Encl. 3, E3.1.37, E3.1.38 and E3.1.47

   Related pages

   • DOHA Security Clearance Decisions
   • Reapplying After Security Clearance Denial
   • Security Clearance Reconsideration

DoD civilian employees and military members: DoD Manual 5200.02

Paragraph 10.4 of DoD Manual 5200.02 sets out the specific procedures for civilian employees and military members. Appendix 10A covers the Personnel Security Appeals Board (PSAB) and Appendix 10B covers personal appearances before DOHA.

Step 4 comes from DCSA's description of its Security Review Proceedings. The other steps come from DoD Manual 5200.02, Change 1 (October 29, 2020). (DCSA, Appeal an Investigation Decision; DoDM 5200.02)

1. Step 1. The LOI and the Statement of Reasons (SOR)

   No unfavorable national security eligibility determination is rendered unless the individual has been provided an LOI, which must accompany or include the SOR. The LOI contains a summary of the security concerns and supporting adverse information, instructions for responding to the SOR, a copy of the relevant adjudicative guidelines, and a list and description of the information relied upon. The SOR explains each security concern, states the specific facts that trigger it, identifies the applicable adjudicative guideline(s), and provides the disqualifying and mitigating conditions for each guideline cited.

   Source: DoDM 5200.02, para. 10.4.a.(1) and (2)

   Related pages

   • Letter of Intent Security Clearance
   • Statement of Reasons

2. Step 2. Notice of intent to reply

   The individual notifies the adjudication facility in writing whether he or she intends to reply.

   Time frame, as written

   • The individual must notify the adjudication facility in writing within 10 calendar days of receipt of the LOI and SOR whether he or she intends to reply to the LOI and SOR.

   Source: DoDM 5200.02, para. 10.4.a.(3)(a)

   Related pages

   • Security Clearance LOI Response

3. Step 3. Written reply to the LOI and SOR

   The reply is made in writing to the adjudication facility.

   Time frame, as written

   • The individual’s reply to the LOI and SOR must be submitted no later than 30 calendar days from the date he or she received the LOI and SOR. (DoDM 5200.02, para. 10.4.a.(3)(b))
   • An extension of up to 30 calendar days from the original deadline may be granted by the employing organization following submission of a written request from the individual before the expiration of the original deadline. (DoDM 5200.02, para. 10.4.a.(3)(b))

   Source: DoDM 5200.02, para. 10.4.a.(3) and (3)(b)

   Related pages

   • Security Clearance LOI Response
   • How to Respond to a Security Clearance SOR
   • Security Clearance Mitigation

4. For an SOR or LOI issued on or after December 9, 2024

   Step 4. Optional personal appearance with DCSA

   DCSA describes Security Review Proceedings in which civilian personnel and military members may elect a virtual personal appearance with DCSA Trust Decision (Adjudications), TD(A). If the individual's written response does not mitigate the concerns in the SOR, the personal appearance with a senior adjudicator takes place before a final determination is issued. The personal appearance is optional.

   Time frame, as written

   • Only those SOR/LOIs issued on or after December 9, 2024 will be processed under the new Security Review Proceedings. (DCSA, Security Review Proceedings FAQ, question 4)
   • This requested documentation/information must be provided to DCSA TD(A) at least 7 calendar days before the DCSA TD(A) personal appearance. (DCSA, Security Review Proceedings FAQ, question 23)
   • Additional documentation, if needed, will be requested from the individual within 5 days of the completion of the DCSA TD(A) personal appearance. This documentation, if requested, will need to be provided to DCSA TD(A) within 30 days of receipt of the request. No extensions will be granted. (DCSA, Security Review Proceedings FAQ, question 22)

   Source: DCSA, Appeal an Investigation Decision; Security Review Proceedings FAQ, questions 4, 5, 22 and 23

   Related pages

   • Security Clearance Personal Appearance

5. Step 5. Letter of denial (LOD) or letter of revocation (LOR)

   When a favorable determination cannot be rendered, the individual receives, via the appropriate Component or command security office, a written LOD or LOR stating whether each adjudicative guideline in the SOR was mitigated or unmitigated, and the reasons for denying or revoking national security eligibility. The LOD or LOR includes instructions on how to appeal.

   Time frame, as written

   • The central adjudication facilities will provide the written LOD or LOR as promptly as individual circumstances permit but no more than 60 calendar days from the date of receipt of the individual’s reply to the SOR and LOI, provided no additional information is deemed necessary to render the national security eligibility determination. (DoDM 5200.02, para. 10.4.a.(4)(c))

   Source: DoDM 5200.02, para. 10.4.a.(4)(a) to (c); the terms LOD and LOR are spelled out at para. 7B.3.d.(5)

   Related pages

   • Security Clearance Denial
   • Security Clearance Revocation

6. Step 6. Notice of intent to appeal (NOIA)

   The individual signs and returns the NOIA to the adjudication facility via the security office, stating whether he or she intends to appeal and, if so, whether he or she requests a personal appearance or will appeal in writing.

   Time frame, as written

   • Within 10 calendar days of receipt of LOD or LOR, the individual will sign and return the notice of intent to appeal (NOIA) to the adjudication facility via their security office.
   • The local security professionals may grant a single 10 calendar day extension upon request from the individual.

   Source: DoDM 5200.02, para. 10.4.a.(5)(a)

   Related pages

   • Security Clearance Appeal

7. Appeal in writing

   Step 7. Written appeal to the PSAB

   The individual writes to the applicable DoD Component PSAB stating reasons why the denial or revocation should be overturned, with any additional relevant information. The appeal and supporting documentation go to the PSAB via the individual's security office.

   Time frame, as written

   • Individuals must, within 30 calendar days of receipt of a LOD or LOR, write to the applicable DoD Component PSAB stating reasons why the denial or revocation should be overturned and provide any additional relevant information that may have a bearing on the case.
   • The DoD Component PSAB president or designee may grant a 30 calendar day extension of time for good cause demonstrated by the appellants (e.g., illness or death in the family, deployment).

   Source: DoDM 5200.02, para. 10.4.a.(5)(e)1

   Related pages

   • Security Clearance Appeal

8. Appeal through a personal appearance

   Step 8. Personal appearance before a DOHA Administrative Judge

   A DOHA Administrative Judge (AJ) holds the personal appearance, with a verbatim transcript, then conducts a de novo review of the unmitigated adjudicative guideline issues stated in the LOD or LOR and issues written recommendations to the PSAB on whether to sustain or overturn the denial or revocation. Appellants may be represented by counsel or personal representative at their own expense.

   Time frame, as written

   • The AJ will schedule a personal appearance (generally within 30 calendar days from receipt of the request), and arrange for the production of a verbatim transcript of the proceedings. (DoDM 5200.02, App. 10B, para. 10B.3)
   • issue, generally within 30 calendar days of the close of the record, written recommendations to the appropriate PSAB whether to sustain or overturn the denial or revocation (DoDM 5200.02, App. 10B, para. 10B.12)

   Source: DoDM 5200.02, App. 10B, paras. 10B.3, 10B.7 and 10B.12

   Related pages

   • Security Clearance Personal Appearance

9. Step 9. Final decision by the PSAB

   The DoD Component PSAB reviews the adjudicative file and any appeal materials, including the DOHA AJ recommendation if there was a personal appearance, and renders a final decision. The individual is notified via his or her security professional.

   Time frame, as written

   • The individual will be notified of the DoD Component PSAB’s final determination via the subject’s security professional, generally within 45 calendar days of the receipt of a direct appeal or 30 calendar days from receipt of the AJ recommendation. (DoDM 5200.02, para. 10.4.a.(6))
   • Process appeals with appearances before DOHA within 30 calendar days of receipt of the recommendation of the AJ. (DoDM 5200.02, App. 10A, para. b.(2))
   • Process direct appeals within 45 calendar days of receipt. (DoDM 5200.02, App. 10A, para. b.(3))

   Source: DoDM 5200.02, para. 10.4.a.(6); App. 10A, paras. b.(2) and b.(3)

   Related pages

   • Security Clearance Appeal

10. Step 10. Later request for reconsideration

    Commanders may request reconsideration of an unfavorable determination for an individual within their command to address specific mission needs. Reconsideration is not a personal right or entitlement.

    Time frame, as written

    • Commanders may request reconsideration of unfavorable national security determinations for individuals within their command to address specific mission needs after the passage of 1 year following a denial or revocation. (DoDM 5200.02, para. 10.6)

    Source: DoDM 5200.02, paras. 10.6 and 10.6.d.(2)

    Related pages

    • Security Clearance Reconsideration
    • Security Clearance Reinstatement

About this guide

The guide gives general information only. It quotes the time frames written in the documents; it does not calculate dates for any case, predict a result or provide legal advice.

The letters in a case carry their own instructions. Under DoD Manual 5200.02, the LOI contains instructions for responding to the SOR, and the LOD or LOR includes instructions on how to appeal (paragraphs 10.4.a.(1)(b) and 10.4.a.(4)(b)). Under DoD Directive 5220.6, a letter of instruction is sent with the SOR (Enclosure 3, E3.1.3).

Other federal agencies run their own procedures under Executive Order 12968, Access to Classified Information. This guide covers the DoD tracks only.