SEAD 3 Reporting Requirements - Cleared Personnel

Point(s) of Contact

Pamela Hamilton / FSO
843.327.3273
pamela@appliedsecurityknowledge.com

Richard Carmichael / ITPSO
678.221.7834
rcarmichael@laochservices.com

 

SEAD 3 Secret and Top Secret Obligations

Security Executive Agent Directive (SEAD) 3

 

 

Table of Contents

SEAD 3 Obligation Reporting Form

Go to Security Quick Reference Guide

DoD Hotline
dodig.mil/hotline / 800.424.9098

Living Status / Arrangements

Marriage

Marriage*: All civil marriages, legally recognized civil unions, and legally recognized domestic partnerships.

What to Report**:
  1. Name
  2. Citizenship
  3. Date of Birth
  4. Place of Birth
  5. Date of marriage

*SEAD 3, H.2.g.
**SEAD 3 Appendix A, 18

Scenario:

Regardless of the person's nationality (U.S. or foreign), is this relationship a marriage, a legally recognized civil union, or legally recognized domestic partnership?

IF YES If you have a TS eligibility, report this marriage, union or partnership to your FSO,

IF I DON'T KNOW - Talk to your FSO for additional guidance.

 

Cohabitation

Cohabitant(s)*: A person with whom you reside and share bonds of affection, obligation, or other commitment as opposed to a person with whom you reside for reasons of convenience (e.g. a roommate)

What to Report**:
  1. Name(s)
  2. Citizenship(s)
  3. Date of Birth
  4. Place of Birth
  5. Duration of contact(s)

*SEAD 3, D3 and H.2.f.
**SEAD 3 Appendix A, 17

Scenario:

Regardless of the person's nationality (either U.S. or foreign), does this person meet the definition of a cohabitant?3

IF YES If you have a TS eligibility, report this marriage, union or partnership to your FSO,

IF I DON'T KNOW - Talk to your FSO for additional guidance.

3A person with whom the covered individual resides and shares bonds of affection, obligation, or other commitment, as opposed to a person with whom the covered individual resides for reasons of convenience (e.g. a roommate).

 

Foreign National Roommate(s)

Foreign National Roommate(s)*: Any foreign national(s) who co-occupies a residence for a period of more than 30 calendar days

Foreign National**: Any person who is not a U.S. citizen or a U.S. national.

What to Report***:
  1. Name of foreign national(s)
  2. Citizenship(s)
  3. Occupation
  4. Nature of relationship, i.e., business or personal
  5. Duration and frequency of contact(s)
  6. Current status of the relationship(s)

*SEAD 3, H.2.e.
**SEAD 3, D8
***SEAD 3 Appendix A, 3

Scenario:

Is this person a roommate and also a foreign national with whom you've co-occupied a residence with for more than 30 days?

IF YES - Report this contact to your FSO.

IF I DON'T KNOW - Talk to your FSO for additional guidance.

 

Adoption of non-U.S. citizen children*

What to Report**:
  1. Country involved
  2. Foreign government organization involved
  3. Foreign travel required
  4. Adoption agency or other intermediary
  5. Adoptive parents' current linkage to foreign country

*SEAD 3, H.1.g.
**SEAD 3 Appendix A, 12

Scenario:

Is this an adoption of a non-US citizen child or children?

IF YES If you have a TS eligibility, report this adoption to your FSO,

IF I DON'T KNOW - Talk to your FSO for additional guidance.

 

Criminal Activity

Arrests*

What to Report**:
  1. Date(s) of the incident(s)
  2. Location(s) of the incident(s)
  3. Charges and/or circumstances d. Disposition

*SEAD 3, G.2.c. and H.2.c.
**SEAD 3 Appendix A, 15

 

Personal Finance & Business Interests

Cryptocurrency*

  • foreign state-backed, hosted, or managed cryptocurrency and/or
  • cryptocurrency wallets hosted by foreign exchanges and/or
  • investment(s) where the instrument is entirely composed of holdings in cryptocurrency that is backed, hosted, or managed by a foreign state.
What to Report:
  1. Name of cryptocurrency
  2. Exchange host country
  3. Dollar value of the asset

No reporting is required if:

  • you are NOT aware that such cryptocurrency holdings are backed, hosted, or managed by a foreign state, or that a cryptocurrency wallet is hosted by a foreign exchange.
  • your investment(s) in cryptocurrency are held in a widely diversified fund (e.g. index funds)

*Industrial Security Letter ISL 2021-02, Table 1

 

Bankruptcy or >120 days delinquent on any debt*

What to Report**:
  1. Type of issue: bankruptcy or delinquency
  2. Dollar value
  3. Reason

*SEAD 3, G.2.d. and H.2.d.
**SEAD 3 Appendix A, 16

 

Financial Anomalies

Financial Anomalies*: Including but not limited to, garnishment; and any unusual infusion of assets of $10,000 or greater, such as an inheritance, winnings, or similar financial gain.

What to Report**:
  1. Type of issue or anomaly (garnishment, inheritance, winnings, etc.)
  2. Dollar value
  3. Reason

*SEAD 3, H.2.d.
**SEAD 3 Appendix A, 16

 

Direct involvement in foreign business*

What to Report**:
  1. Nature of involvement
  2. Country or countries involved
  3. Name of business

*SEAD 3, H.1.a.
**SEAD 3 Appendix A, 4

 

Foreign bank accounts*

What to Report**:
  1. Financial institution
  2. Country

*SEAD 3, H.1.b.
**SEAD 3 Appendix A, 5

 

Ownership of foreign property*

Ownership of foreign property and/or interest in foreign real estate. This includes land, any inherently permanent improvements to land (e.g. buildings, living spaces), or ownership of rights associated with the land or the inherently permanent improvements to the land, to include right-to-use time share agreements and natural resource rights.

What to Report**:
  1. Location
  2. Estimated value
  3. Balance due
  4. Purpose and use of property
  5. How acquired

Diversified investments (e.g. index funds) do not need to be reported unless they are entirely composed of property holdings in a foreign country or countries.

*SEAD 3, H.1.c
**SEAD 3 Appendix A, 6

Behavior & Conduct

Actions or activities of you that are reportable by other covered individuals.*

Reportable Actions by Others: To ensure the protection of classified info or other info specifically prohibited by law from disclosure, you shall alert the FSO to the following activities of other covered individuals that may be of potential security or counterintelligence (CI) concern:

  1. An unwillingness to
    -comply with rules and regulations, or
    -cooperate with security requirements
  2. Unexplained affluence or excessive indebtedness
  3. Alcohol abuse
  4. Illegal use or misuse of drugs or drug activity
  5. Apparent or suspected mental health issues where there is reason to believe it may impact their ability to protect classified info or other info specifically prohibited by law from disclosure
  6. Criminal conduct
  7. Any activity that raises doubts as to whether another covered individual's continued national security eligibility is clearly consistent with the interests of national security
  8. Misuse of U.S. Government property or information systems

*SEAD 3, F.3

 

Attempted elicitation, exploitation, blackmail, coercion, or enticement to obtain classified information or other information specifically prohibited by law from disclosure.*

What to Report**:
  1. Date(s) of incident
  2. Name of individual(s) involved
  3. Nature of incident
  4. Method of contact
  5. Electronic address
  6. Type of information being sought
  7. Background, circumstances, and current state of the matter

*SEAD 3, G.2.a.
**SEAD 3 Appendix A, 13

Foreign Travel

Official foreign travel is not required to be reported.*

Official foreign travel is defined as foreign travel that is in direct support of an established U.S. Government contract with the ultimate customer being the U.S. Government, whether as a prime contractor or a sub-contractor.

*SEAD 3, F.1.a.

 

Unofficial foreign travel is required to be reported.*

  • Includes foreign travel conducted before, during, or after official foreign travel.
  • Travel to Puerto Rico, Guam, or other U.S. possessions and territories is not foreign travel
  • Deviations from submitted travel itinerary must be reported within five business days of return.
  • Unanticipated border crossings into any foreign country not included in approved itinerary, regardless of duration, are discouraged.
  • Unplanned day trips to Canada or Mexico shall be reported within five business days of return.
  • If under emergency circumstances, at a minimum verbally report itinerary prior to departure with full reporting to occur within five business days of return.
  • Travel that is not reported in advance and does not fall under the above, shall be reported as soon as possible after the travel occurs.

*SEAD 3, F.1.b.

What to Report**:
  1. Itinerary data: countries visited, travel dates, and mode of transportation & identity of carriers
  2. Passport data: full name, issuing country, passport #, issuance date, and expiration
  3. Names & association (friend, relative, etc.) of foreign national traveling companions
  4. Planned contacts with foreign governments, companies or citizens and reason for contact
  5. Name, address, telephone number, and relationship of emergency point of contact
  6. And as needed:
    1. Unplanned contacts with foreign governments, companies or citizens and reason for contact
    2. Unusual or suspicious occurrences during travel, including those of possible security or counterintelligence significance
    3. Any foreign legal or customs incidents encountered

*SEAD 3, F.1.b.
**SEAD 3, Appendix A, 1

 

Foreign Contacts - Official

Foreign Contacts - OFFICIAL

Foreign National*: Any person who is not a U.S. citizen or a U.S. national.

Not required to be reported if contact with foreign nationals:

  • occurs solely as part of your official duties, and absent any bonds of affection or obligation
  • is based solely on the obligations incurred as a result of you residing in a foreign country due to employment (payment of rent, utilities, etc.), and absent any additional bonds of affection or obligation
Note:
  • In cases of an official foreign contact deemed to be a security concern, the contact will be reported as if unofficial. (See SEAD 3 Appendix A, 2 or 3)
  • Heads of agencies or designees shall determine requirements for reporting contact with a national as part of your official duties.**

*SEAD 3, D.8
**SEAD 3, F.2.a

 

Foreign Contacts - Unofficial

Unofficial contact with a known or suspected foreign intelligence entity.*

What to Report**:
  1. Service(s) involved
  2. Name of individual(s) contacted
  3. Date(s) of contact
  4. Nature of contact to include any unusual or suspicious activity
  5. Likelihood of future contacts

*SEAD 3, F.2.b.1)
**SEAD 3 Appendix A, 2

Scenario:

Did you have one or more interactions (in an unofficial capacity2) with someone who you know or suspect is associated with a foreign intelligence entity?

IF YES - Report this contact to your FSO.

IF I DON'T KNOW - Talk to your FSO for additional guidance.

2Here "unofficial capacity" means that your interaction with a known or suspected FIE was not an intentional act directed under a government contract.

 

Continuing association with known foreign nationals that involves bonds of affection, personal obligation, or intimate contact.*

  • Based on the nature of the relationship regardless of how or where the foreign national contact was made or how the relationship is maintained (i.e. via personal contact, telephone, mail, Internet, etc.)
  • The reporting of limited or casual public contact with foreign nationals is not required absent any other reporting requirement.
  • Following initial reporting, updates shall occur only if and when there is a significant change.
What to Report***:
  1. Name of foreign national(s)
  2. Citizenship(s)
  3. Occupation
  4. Nature of relationship, i.e., business or personal
  5. Duration and frequency of contact(s)
  6. Current status of the relationship(s)

*SEAD 3, F.2.b.2)
**SEAD 3, D.8
***SEAD 3 Appendix A, 3

Scenario:

Is this a continuing relationship with a known foreign national (regardless of it being an official or unofficial foreign contact) that involves bonds of affection, intimate contact, or personal obligation5?

IF YES - Report this contact to your FSO.

5Here "obligation" to a foreign national is referring to that which is beyond or in addition to the obligations that would be expected to be incurred as a result of residing in a foreign country (due to employment for instance) such as payment of rent, utilities, etc.

 

Any contact with a foreign national involving the exchange of personal information.*

A reportable instance would meet the following criteria.

  1. The name and nationality of the foreign national are known by you during or after exchange, and
  2. The nature of the personal info provided by you to the foreign national is not reasonably expected to be accessible by the general public, nor to be willingly released to the general public by you, and
  3. Contact with the foreign national is re-occurring or expected to re-occur.
What to Report***:
  1. Name of foreign national(s)
  2. Citizenship(s)
  3. Occupation
  4. Nature of relationship, i.e., business or personal
  5. Duration and frequency of contact(s)
  6. Current status of the relationship(s)

*SEAD 3, F.2.b.2)
**SEAD 3, D.8
***SEAD 3 Appendix A, 3

Scenario:

Does your contact with a foreign national meet the three following criteria:

  1. You know the name and nationality of the foreign national.
  2. You have provided personal information to the foreign national, meaning information of an intimate or personal nature and that is not reasonably expected to be accessible by the general public, nor that you would willingly release to the general public.
    The following instances involving a foreign national are not considered an exchange of personal information as described above.
    1. Commercial Transactions – Information, that as a member of the general public you would be expected to provide to enable a legal commercial transaction. Such information includes personal credit card information, personal e-mail address, physical home address, personal phone number, etc. The nature of the commercial transaction should be one of general public availability as opposed to an opportunity that is unique to the covered individua l or in which the covered individua l has been (or suspects being) specifically targeted for participation, such as a speaking engagement or being a "contest winner." Further, this category does not include established business relationships with a foreign national or contracted activity.
    2. Personable Social Interactions – Information exchanged with a foreign national on the basis of being personable, not personal. (e.g. friendly conversations with fellow parents at your child's soccer game.)
    3. Professional Interactions – Information related to you that is exchanged on behalf of your employer to further a work-related matter. An example of a professional interaction is providing a business card to facilitate contact for work-related matters.)
  3. Contact with the foreign national is re-occurring or expected to re-occur due to the development of an acquaintanceship that extends beyond typical public interaction.

IF YES - Report this contact to your FSO.

 

Updates regarding continuing association with known foreign nationals.*

What to Report***:
  1. Name of foreign national(s)
  2. Citizenship(s)
  3. Occupation
  4. Nature of relationship, i.e., business or personal
  5. Duration and frequency of contact(s)
  6. Current status of the relationship(s)

*SEAD 3, F.2.b.2)
**SEAD 3, D.8
***SEAD 3 Appendix A, 3

 

Foreign Affiliation

Application for or receipt of foreign citizenship*

What to Report**:
  1. Country
  2. Basis for citizenship
  3. Date of application or receipt

**SEAD 3, G.1.a and H.1.d
**SEAD 3 Appendix A, 7

 

 

Application for, possession, or use of a foreign passport or identity card for travel.*

What to Report if Applied for…**
  1. Country
  2. Date of application
  3. Reason for application
What to Report if in Possession of…**
  1. Issuing country
  2. Number
  3. Date of issuance
  4. Expiration date
  5. Reason for possession
What to Report if Used…**
  1. Issuing country
  2. Reason for use
  3. Date(s) and country(ies) of use

*SEAD 3, G.1.b and H.1.e
**SEAD 3 Appendix A, 8, 9, and 10

 

Voting in a foreign election*

What to Report**:
  1. Date
  2. Country
  3. Election

*SEAD 3, H.1.f
**SEAD 3 Appendix A, 11

 

Treatment and Counseling

Alcohol and drug-related treatment*

What to Report**:
  1. Reason
  2. Treatment provider, to include contact information
  3. Date(s) treatment provided

*SEAD 3, G.2.e. and H.2.h.
**SEAD 3 Appendix A, 19

 

Psychological and Emotional Health

Psychological and Emotional Health*

Consistent with Section 21 of SF-86, report psychological and emotional health conditions that involve the following situations:

  1. Court or administrative agency issued order declaring mentally incompetent.
  2. Court or administrative agency ordering consultation with mental health professional**
  3. Hospitalization for a mental health condition.
  4. Diagnosis by a mental health professional** of psychotic disorder, schizophrenia, schizoaffective disorder, delusional disorder, bipolar mood disorder, borderline personality disorder, or antisocial personality disorder.
  5. Occasions within last 7 years where individual did not consult with a medical professional** before altering, discontinuing, or failing to start a prescribed course of treatment for any of above diagnoses. Details of any current treatment for above diagnoses must be reported.
  6. Any mental health or other health condition that substantially and adversely affects judgement, reliability, or trustworthiness regardless of current symptoms.

* Section 21, SF86
**Mental health professional (psychiatrist, psychologist, licensed clinical social worker, etc.)

 

Media Contact

contact with the Media*

  • if the media seeks or shows interest in classified information or information otherwise prohibited from public disclosure, and;
  • if an associated investigation / inquiry reveals a mishandling and/or unauthorized disclosure of classified information.
What to Report**:
  1. Date(s) of contact
  2. Name of media outlet
  3. Name of media representative
  4. Nature and purpose of contact
  5. Whether classified information or other information specifically prohibited by law from disclosure was involved in the contact.
  6. Current status of the contact

Media contacts related to the fulfillment of official duties of your position need not be reported.

*SEAD 3, G.2.b. and H.2.b.
**SEAD 3 Appendix A, 14

Scenario:

Have you been in contact with someone from the media seeking or showing interest in classified information or information otherwise prohibited from public disclosure?

IF YES - Report this to your FSO.

IF I DON'T KNOW - Talk to your FSO for additional guidance.