Defense Intelligence Agency (DIA) Security Clearance Process
The DIA, as a federal agency within the Department of Defense, conducts the clearance process for its own personnel and contractors, and it has own rules for adjudications and appeals. Because DIA delegates clearance processing under agency-specific procedures rather than the broader DCSA coverage used by many individual federal agencies, the process, especially after a Statement of Reasons, can move more quickly than at other federal agencies.
Prospective DIA personnel generally must be U.S. citizens and obtain a TS/SCI clearance as a baseline condition of employment. The DIA security clearance process is governed by Executive Order 12698 and SEAD 4, and the basic rules remain consistent even with agency-specific procedures.
Overview of the DIA Security Clearance Process
- The security clearance process begins with the SF-86 security form, a Tier 5 background investigation for Top Secret / Sensitive Compartmented Information eligibility, and records checks in criminal, legal, government, and financial databases; Top Secret access covers information that could cause exceptionally grave damage to national security, while TS/SCI also covers intelligence sources, methods, and analytical processes.
- The individual and his or her references, along with leads developed by investigators, will be interviewed to determine if there are any security concerns.
- If security clearance issues are identified, the individual will be notified that the Defense Intelligence Central Adjudication Facility (DICAF) has preliminarily decided to deny or revoke access to classified information, the deadlines for responding, and the Statement of Reasons for the intent to deny or revoke.
- Written response to the SOR and a personal appearance (PA) hearing are also offered as options.
- If the written response and PA are unsuccessful, the individual will be issued a letter of denial (LOD) or letter of revocation (LOR) and instructions to appeal to the Defense Intelligence Security Appeals Board (DISAB), which can affect the ability to obtain or keep a defense security clearance.
- The full vetting timeline, including polygraph-related steps, can be lengthy, from several months to more than a year.
Responding to a DIA Letter of Intent and Statement of Reasons (LOI/SOR)
- When receiving a Letter of Intent with Statement of Reasons, including the statement of reasons SOR, it is important to note that the deadline to submit the intent to respond is 10 days from receipt of the letter, and requesting review plus a Personal Appearance within that window preserves the right to move forward with the appeal path.
- The deadline to file a written response to the SOR is 45 days from the date of receipt.
- While the deadline can be extend to ensure receipt of the investigative file, known as Records Relied Upon to issue the SOR, or retaining counsel, the DIA SOR process moves very quickly once the SOR is issued.
- The SOR will detail which of the 13 Security Executive Agent Directive 4 (SEAD 4) adjudicative guidelines are invoked in proposing the initial security clearance decision to deny or revoke. These security guidelines are the substantive security clearance law that provides both disqualifying and mitigating factors to be applied in resolving the security concerns identified.
- A separate enclosure will provide a request form for the Records Relied Upon and the individual is warned that failing to promptly request these records may result in a denial of an extension to the response deadline. The individual should immediately request these records at the same time as filing the intent to respond. This is the DIA security clearance file used to support the proposed action, and reviewing the security clearance file before drafting a response is critical.
- The individual should closely review the Records Relied Upon and ensure that nothing is missing or factually incorrect. The SF-86 covers up to 10 years of personal history, including residences, employment, foreign travel, and foreign contacts, and the investigation process verifies that information.
- Hiring an experienced security clearance attorney who has handled security clearance appeals can help identify not only the most pressing issues, but the best way to utilize the whole person concept to develop mitigation strategies that can resolve the security concerns affecting security access.
- The written response to the SOR should address each issue in turn, making sure to identify which disqualifying parts of a particular guideline are not applicable and as many mitigating factors are possible are applicable.
- An experienced security clearance lawyer should be consulted prior to filing the detailed written response and can help in identifying the best forms of mitigation.
- Character letters
- Financial documents such as payment plans, debt consolidation or settlements
- Criminal record and related court documents showing reduced charges or compliance with court-ordered requirements
- Drug or alcohol treatment program completion
- Mental health diagnoses, counseling, and prognosis letters
If the concerns are not resolved, the SOR may lead to denial or revocation.
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Preparing for and Navigating the DIA Personal Appearance Hearing
- The personal appearance (PA) is conducted in person at DIA offices in the DC and Reston locations.
- PA hearing scheduling occurs after the request is made, and the personal appearance usually lasts about 60-90 minutes.
- The security panel usually consists of three individuals from DIA personnel security, as well as a lawyer from the DIA General Counsel’s Office, and these are formal clearance hearings focused on contested security access decisions.
- No witnesses are allowed other than the individual and his or her attorney, so any testimony from character or fact witnesses must be presented in documentary form sufficient time prior to the hearing so the panel can review them in advance.
- Preparing to testify and be questioned at the hearing is of the utmost importance. Being able to fully and honestly address derogatory information and being prepared to answer questions about the written response and mitigation will determine much about how the panel views the resolution of the specific security concerns at issue.
- An experienced security clearance lawyer will act to protect your due process rights prior to and at the PA, including objecting to evidence that was not disclosed and highlighting weaknesses in the evidence relied upon by DIA to make their determination. Individuals appealing a denial must request review and a Personal Appearance within 10 days of receiving the Notice of Intent to Revoke or Deny.
The Appeals Process: Challenging an Unfavorable DIA Decision
- If the written response and personal appearance result in an unfavorable decision, the next and final stage of the security clearance appeals process is review by the Defense Intelligence Security Appeal Board (DISAB), which handles security clearance reconsideration at the last step before the final clearance decision.
- When a letter of denial or revocation (LOD or LOR) is issued, the individual is informed of the 15 calendar day deadline to file a written appeal to the DISAB as to why the denial or revocation should be reversed, and handling security clearance appeals under DIA procedures requires close attention to agency-specific deadlines and rules.
- There is also a 5 calendar day deadline to file a receipt of the LOD/LOR and failure to do so waives the ability to file an appeal of the unfavorable decision.
- Unlike many other agencies, DISAB review is conducted by senior security officers on the written appeal record rather than a new live hearing, and the process allows for new evidence that supports resolution of the identified security concerns. As several months often pass between the PA and the LOD/LOR, continuing to build mitigation that will improve the chances of an appeal is critical.
- If the clearance denial or revocation is entered, including in clearance revocation proposals, the collateral effect on clearances held by other agencies may be detrimental to existing employment, so it is important to apply all available resources through a security access appeal to reverse the unfavorable determination.
- An adverse DISAB ruling can bar a new DIA application and security clearance applications for up to one year.
Comprehensive Representation for DIA Security Clearance Applicants and Holders
- Our law firm has extensive experience handling security clearance cases for applicants and clearance holders, including those seeking or maintaining a DIA clearance: helping clients prepare SF-86 security forms, answer interrogatories and requests for supplemental information (SIR), respond to Statements of Reasons (SOR), present evidence and testimony at a personal appearance hearing, and appeal unfavorable decisions. Individuals often enter this process after a conditional offer of employment and must meet strict standards before receiving final access.
- We also help clients prepare for background interviews and polygraph examinations and how to best answer questions about difficult topics.
- Even after approval, clearance holders remain subject to continuous vetting of their background, finances, and conduct and must be aware of their obligations to report issues under SEAD 3. If you are uncertain if an issue must be reported, contact our firm to discuss it.
- We help develop mitigation strategies for issues ranging from criminal conduct, financial problems, drug and alcohol abuse, psychological concerns, and foreign influence that effectively leverage the whole person concept to give clients the best chance at gaining or maintaining their clearance. Our security clearance attorneys and security clearance lawyers also represent government contractors, federal employees, and military personnel in DIA-related matters tied to federal employment and homeland security.
- Contact us today for a confidential free consultation to discuss your concerns and obtain legal advice about your security clearance matters with the DIA. Response deadlines are short and unforgiving, so do not delay in reaching out to an experienced security clearance lawyer.
- Brian@LSAttorneys.com 847-775-7701
