An analysis of non-Department of Defense and Department of Defense special background investigative procedures used in developing sources that indicate the presence of an issue.

106 Pages·1.8 MB·en_US

by  Lauff, Jeffrey Joseph.;Eitelberg, Mark J.;Carney, Ralph M.

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NAVAL POSTGRADUATE SCHOOL
Monterey, California
THESIS
AN ANALYSIS OF NON-DEPARTMENT OF DEFENSE AND
DEPARTMENT OF DEFENSE SPECIAL BACKGROUND
INVESTIGATIVE PROCEDURES USED IN DEVELOPING
SOURCES THAT INDICATE THE PRESENCE OF AN
ISSUE
by
Jeffrey Joseph Lauff
JUNE 19 91
Thesis Advisor: Ralph M. Carney
Thesis Co-Advisor Mark J. Eitelberg
Approved for public release: Distribution is unlimited
T258477

Unclassified
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Unclassified
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2b DECLASSIFICATION/DOWNGRADING SCHEDULE Distribution is unlimited
4. PERFORMING ORGANIZATION REPORT NUMBER(S) 5 MONITORING ORGANIZATION REPORT NUMBER(S)
6a NAME OF PERFORMING ORGANIZATION 6b OFFICE SYMBOL 7a NAME OF MONITORING ORGANIZATION
Naval Postgraduate School (ItapplicableA)S Naval Postgraduate School
6c ADDRESS (City, StateandZIPCode) 7b ADDRESS (City, State, andZIPCode)
Monterey, CA 93943-5000 Monterey, CA 93943-5000
8a NAME OF FUNDING/SPONSORING 8b OFFICE SYMBOL 9 PROCUREMENT INSTRUMENT IDENTIFICATION NUMBER
ORGANIZATION (Ifapplicable)
8c. ADDRESS (City, State, andZIPCode) 10 SOURCE OF FUNDING NUMBER
PROGRAM PROJECT TASK WORK UNIT
ELEMENT NO NO NO ACCESSION NO
11. TITLE (IncludeSecurityClassification)
AN ANALYSIS OF NON-DE?ARTMENr OF DEFENSE AND DEPARTMENT OF DEFENSE SPECIAL BACKGF INVESTIGATIVE
£££ _^ 1YI _~ _ A- TSHTA^ -MP PRJ.qr.Nirr OF AN ~S.q;:~
12. PERSONAL AUTHORS
JEFFREY JOSEPH LAUFF
13a. TYPE OF REPORT 13b TIME COVERED 14 DATE OF REPORT (Year, Month. Day) 15 PAGE COUNT
Master' s Thesis FROM TO JUNE 1991 95
16 SUPPLEMENTARY NOTATION
The views expressed are those of the author and do not reflect the official policy
or position of the Department of Defense or the U.S. Government
17 COSATI CODES 18 SUBJECT TERMS (Continueonreverseifnecessaryandidentifybyblocknumbers)
special background investigations, determining
FIELD GROUP SUB-GROUP
background sources
19.ABSTRACT (Continueonreverseitnecessaryandidentitybyblocknumbers)
This thesis examines the differences in investigative procedures of the
non-Department of Defense and Department of Defense agencies in developing sources
that indicate the presence of an issue during a special background investigation.
Multivariate analysis of the survey was conducted to examine these differences.
The results of this analysis indicate statistically significant differences in the
organizational methods used to develop sources of derogatory information which are
used in determining eligibility for sensitive compartmented information. This
analysis also highlights the most effective and efficient methods of conducting
a special background investigation for both organizations. The recommendations
address the requirement for continued analysis to further refine the special
investigative process thereby yielding greater efficiency and effectiveness in the
detection of issue cases.
20.XDXISUTNRCILBAUSTSIIOFNI/EADVA/IULNALBIIMLIITTEYDOF ABSTSRAAMCETAS RPT DTIC USERS 21 AuBnSTcRlACaTsSsEiCUfRiITeYdCLASSIFICATION
22a. NAME OF RESPONSIBLE INDIVIDUAL 22b TELEPHONE (IncludeArea Code) 22c. OFFICE SYMBOL
Ralph M. Carney [phone] PERSEREC
)D Form 1473, JUN 86 Previous editions are obsolete, SECURITYCLASSIFICATION OF THIS ?AGE
S/N 0102-LF-014-6603 Unclassified
i
Approved for public release: Distribution is unlimited
An Analysis of Non-Department of Defense and Department of
Defense Special Background Investigative Procedures Used in
Developing Sources That Indicate the Presence of an Issue
by
Jeffrey Joseph iauff
Lieutenant Commander, United States Navy
B.A., Washington and Jefferson College, 1979
Submitted in partial fulfillment of the
requirements for the degree of
MASTER OF SCIENCE
IN MANAGEMENT
from the
NAVAL POSTGRADUATE SCHOOL
JUNE 1991
ABSTRACT
This thesis examines the differences in investigative
procedures of the non-Department of Defense and Department of
Defense agencies in developing sources that indicate the
presence of an issue during a special background
investigation. Multivariate analysis of the survey was
conducted to examine these differences. The results of this
analysis indicate statistically significant differences in the
organizational methods used to develop sources of derogatory
information which are used in determining eligibility for
sensitive compartmented information. This analysis also
highlights the most effective and efficient methods of
conducting a special background investigation for both
organizations. The recommendations address the requirement
for continued analysis to further refine the special
investigative process thereby yielding greater efficiency and
effectiveness in the detection of issue cases.
111
.
J
6
TABLE OF CONTENTS
I. INTRODUCTION 1
A. PURPOSE 1
B. OVERVIEW 1
C. DEFINITION OF TERMS 3
D BACKGROUND 5
.
E. THE RESEARCH QUESTION 8
F. SCOPE, LIMITATIONS AND ASSUMPTIONS 9
G. ORGANIZATION OF STUDY 10
....
II. LITERATURE REVIEW AND SURVEY DESCRIPTION 11
A. LITERATURE REVIEW 11
B. SURVEY DESCRIPTION 15
III. METHODOLOGY 24
A. OVERVIEW 24
B. FREQUENCY METHOD 25
C. LOGISTIC REGRESSION METHOD 26
1. Model Selection 26
2. Dependent Variable Selection . . 29
3. Independent Variable Selection 29
IV. RESULTS AND ANALYSIS 31
A. OVERVIEW 31
B. FREQUENCY ANALYSIS 31
C. VARIABLE CORRELATION 41
...
D. ANTICIPATED INDEPENDENT VARIABLE VALUES 45
E. THE LOGIT MODEL 47
1. Model Comparisons 47
2. Non-DOD Logit Model 48
3. DOD Logit Model 57
Model Comparisons 63
4
V. CONCLUSIONS AND RECOMMENDATIONS 66
A. CONCLUSIONS 66
Frequency Analysis 66
1.
2. Logit Analysis 67
iv