Adjudicative
Guidelines
for Determining Eligibility
for Access to Classified Information
This
is the full text of the guidelines for approval, denial, or revocation of
security clearances as approved by the President per March 24, 1997
memorandum from the Assistant to the President for National Security Affairs.
The following adjudicative guidelines are
established for all U.S. government civilian and military personnel, consultants,
contractors, employees of contractors, licensees, certificate holders or grantees and
their employees and other individuals who require access to classified information. They
apply to persons being considered for initial or continued eligibility for access to
classified information, to include sensitive compartmented information (SCI) and special
access programs (SAPs) and are to be used by government departments and agencies in all
final clearance determinations.
1. The adjudicative process is an examination
of a sufficient period of a person's life to make an affirmative determination that the
person is eligible for a security clearance. Eligibility for access to classified
information is predicated upon the individual meeting these personnel security guidelines.
The adjudicative process is the careful weighing of a number of variables known as the
whole person concept. Available, reliable information about the person, past and present,
favorable and unfavorable, should be considered in reaching a determination. In evaluating
the relevance of an individual's conduct, the adjudicator should consider the following
factors:
a. The nature, extent, and seriousness of the
conduct;
b. The circumstances surrounding the conduct, to include knowledgeable participation;
c. The frequency and recency of the conduct;
d. The individual's age and maturity at the time of the conduct;
e. The voluntariness of participation;
f. The presence or absence of rehabilitation and other pertinent behavioral changes;
g. The motivation for the conduct;
h. The potential for pressure, coercion, exploitation, or duress; and
i. The likelihood of continuation or recurrence.
2. Each case must be judged on its own
merits, and final determination remains the responsibility of the specific department or
agency. Any doubt as to whether access to classified information is clearly consistent
with national security will be resolved in favor of the national security.
3. The ultimate determination of whether the
granting or continuing of eligibility for a security clearance is clearly consistent with
the interests of national security must be an overall common sense determination based
upon careful consideration of the following, each of which is to be evaluated in the
context of the whole person, as explained further below:
a. Guideline A: Allegiance to the United States
b. Guideline B: Foreign influence
c. Guideline C: Foreign preference
d. Guideline D: Sexual behavior
e. Guideline E: Personal conduct
f. Guideline F: Financial considerations
g. Guideline G: Alcohol consumption
h. Guideline H: Drug involvement
i. Guideline I: Emotional,
mental, and personality disorders
j. Guideline J: Criminal conduct
k. Guideline K: Security violations
l. Guideline L: Outside activities
m. Guideline M: Misuse of
information technology systems
4. Although adverse information concerning a
single criterion may not be sufficient for an unfavorable determination, the individual
may be disqualified if available information reflects a recent or recurring pattern of
questionable judgment, irresponsibility, or emotionally unstable behavior. Notwithstanding
the whole person concept, pursuit of further investigation may be terminated by an
appropriate adjudicative agency in the face of reliable, significant, disqualifying,
adverse information.
5. When information of security concern
becomes known about an individual who is currently eligible for access to classified
information, the adjudicator should consider whether the person:
a. Voluntarily reported the information;
b. Was truthful and complete in responding to questions;
c. Sought assistance and followed professional guidance, where appropriate;
d. Resolved or appears likely to favorably resolve the security concern;
e. Has demonstrated positive changes in behavior and employment;
f. Should have his or her access temporarily suspended pending final adjudication of the
information.
6. If after evaluating information of
security concern, the adjudicator decides that the information is not serious enough to
warrant a recommendation of disapproval or revocation of the security clearance, it may be
appropriate to recommend approval with a warning that future incidents of a similar nature
may result in revocation of access.
Guideline A
Allegiance to the United States
The Concern. An individual
must be of unquestioned allegiance to the United States. The willingness to safeguard
classified information is in doubt if there is any reason to suspect an individual's
allegiance to the United States.
Conditions that could raise a security
concern and may be disqualifying include:
a. Involvement in any act of sabotage,
espionage, treason, terrorism, sedition, or other act whose aim is to overthrow the
Government of the United States or alter the form of government by unconstitutional means;
b. Association or sympathy with persons who
are attempting to commit, or who are committing, any of the above acts;
c. Association or sympathy with persons or
organizations that advocate the overthrow of the United States Government, or any state or
subdivision, by force or violence or by other unconstitutional means;
d. Involvement in activities which unlawfully
advocate or practice the commission of acts of force or violence to prevent others from
exercising their rights under the Constitution or laws of the United States or of any
state.
Conditions that could mitigate
security concerns include:
a. The individual was unaware of the unlawful
aims of the individual or organization and severed ties upon learning of these;
b. The individual's involvement was only with
the lawful or humanitarian aspects of such an organization;
c. Involvement in the above activities
occurred for only a short period of time and was attributable to curiosity or academic
interest;
d. The person has had no recent involvement
or association with such activities.
The Concern. A security risk
may exist when an individual's immediate family, including cohabitants, and other persons
to whom he or she may be bound by affection, influence, or obligation are not citizens of
the United States or may be subject to duress. These situations could create the potential
for foreign influence that could result in the compromise of classified information.
Contacts with citizens of other countries or financial interests in other countries are
also relevant to security determinations if they make an individual potentially vulnerable
to coercion, exploitation, or pressure.
Conditions that could raise a security
concern and may be disqualifying include:
a. An immediate family member, or a person to
whom the individual has close ties of affection or obligation, is a citizen of, or
resident or present in, a foreign country;
b. Sharing living quarters with a person or
persons, regardless of their citizenship status, if the potential for adverse foreign
influence or duress exists;
c. Relatives, cohabitants, or associates who
are connected with any foreign government;
d. Failing to report, where required,
associations with foreign nationals;
e, Unauthorized association with a suspected
or known collaborator or employee of a foreign intelligence service;
f. Conduct which may make the individual
vulnerable to coercion, exploitation, or pressure by a foreign government;
g. Indications that representatives or
nationals from a foreign country are acting to increase the vulnerability of the
individual to possible future exploitation, coercion or pressure;
h. A substantial financial interest in a
country, or in any foreign owned or operated business that could make the individual
vulnerable to foreign influence.
Conditions that could mitigate
security concerns include:
a. A determination that the immediate family
member(s) (spouse, father, mother, sons, daughters, brothers, sisters), cohabitant, or
associate(s) in question are not agents of a foreign power or in a position to be
exploited by a foreign power in a way that could force the individual to choose between
loyalty to the person(s) involved and the United States;
b. Contacts with foreign citizens are the
result of official U.S. Government business;
c. Contact and correspondence with foreign
citizens are casual and infrequent;
d. The individual has promptly complied with
existing agency requirements regarding the reporting of contacts, requests, or threats
from persons or organizations from a foreign country;
e. Foreign financial interests are minimal
and not sufficient to affect the individual's security responsibilities.
The Concern. When an
individual acts in such a way as to indicate a preference for a foreign country over the
United States, then he or she may be prone to provide information or make decisions that
are harmful to the interests of the United States.
Conditions that could raise a security
concern and may be disqualifying include:
a. The exercise of dual citizenship;
b. Possession and/or use of a foreign
passport;
c. Military service or a willingness to bear
arms for a foreign country;
d. Accepting educational, medical, or other
benefits, such as retirement and social welfare, from a foreign country;
f. Residence in a foreign country to meet
citizenship requirements;
g. Using foreign citizenship to protect
financial or business interests in another country;
h. Seeking or holding political office in the
foreign country;
h. Voting in foreign elections; and
i. Performing or attempting to perform
duties, or otherwise acting, so as to serve the interests of another government in
preference to the interests of the United States.
Conditions that could mitigate
security concerns include:
a. Dual citizenship is based solely on
parents' citizenship or birth in a foreign country;
b. Indicators of possible foreign preference
(e.g., foreign military service) occurred before obtaining United States citizenship;
c. Activity is sanctioned by the United
States;
d. Individual has expressed a willingness to
renounce dual citizenship.
The Concern. Sexual
behavior is a security concern if it involves a criminal offense, indicates a personality
or emotional disorder, subjects the individual to coercion, exploitation, or duress, or
reflects lack of judgment or discretion. (see footnote) Sexual orientation or preference
may not be used as a basis for or a disqualifying factor in determining a person's
eligibility for a security clearance.
Conditions that could raise a security
concern and may be disqualifying include:
a. Sexual behavior of a criminal nature,
whether or not the individual has been prosecuted;
b. Compulsive or addictive sexual behavior
when the person is unable to stop a pattern of self-destructive or high-risk behavior or
which is symptomatic of a personality disorder;
c. Sexual behavior that causes an individual
to be vulnerable to coercion, exploitation or duress;
d. Sexual behavior of a public nature and/or
which reflects lack of discretion or judgment.
Conditions that could mitigate
security concerns include:
a. The behavior occurred during or prior to
adolescence and there is no evidence of subsequent conduct of a similar nature;
b. The behavior was not recent and there is
no evidence of subsequent conduct of a similar nature;
c. There is no other evidence of questionable
judgment, irresponsibility, or emotional instability;
d. The behavior no longer serves as a basis
for coercion, exploitation, or duress.
Footnote: The adjudicator should also
consider guidelines pertaining to criminal conduct (Guideline J); or emotional, mental,
and personality disorders (Guideline I), in determining how to resolve the security
concerns raised by sexual behavior.
The Concern. Conduct
involving questionable judgment, untrustworthiness, unreliability, lack of candor,
dishonesty, or unwillingness to comply with rules and regulations could indicate that the
person may not properly safeguard classified information. The following will normally
result in an unfavorable clearance action or administrative termination of further
processing for clearance eligibility:
a. Refusal to undergo or cooperate with
required security processing, including medical and psychological testing; or
b. Refusal to complete required security
forms, releases, or provide full, frank and truthful answers to lawful questions of
investigators, security officials or other official representatives in connection with a
personnel security or trustworthiness determination.
Conditions that could raise a security
concern and may be disqualifying also include:
a. Reliable, unfavorable information provided
by associates, employers, coworkers, neighbors, and other acquaintances;
b. The deliberate omission, concealment, or
falsification of relevant and material facts from any personnel security questionnaire,
personal history statement, or similar form used to conduct investigations, determine
employment qualifications, award benefits or status, determine security clearance
eligibility or trustworthiness, or award fiduciary responsibilities;
c. Deliberately providing false or misleading
information concerning relevant and material matters to an investigator, security
official, competent medical authority, or other official representative in connection with
a personnel security or trustworthiness determination;
d. Personal conduct or concealment of
information that may increase an individual's vulnerability to coercion, exploitation or
duress, such as engaging in activities which, if known, may affect the person's personal,
professional, or community standing or render the person susceptible to blackmail;
e. A pattern of dishonesty or rule
violations, including violation of any written or recorded agreement made between the
individual and the agency.
f. Association with persons involved in
criminal activity.
Conditions that could mitigate
security concerns include:
a. The information was unsubstantiated or not
pertinent to a determination of judgment, trustworthiness, or reliability;
b. The falsification was an isolated
incident, was not recent, and the individual has subsequently provided correct information
voluntarily;
c. The individual made prompt, good-faith
efforts to correct the falsification before being confronted with the facts;
d. Omission of material facts was caused or
significantly contributed to by improper or inadequate advice of authorized personnel, and
the previously omitted information was promptly and fully provided;
e. The individual has taken positive steps to
significantly reduce or eliminate vulnerability to coercion, exploitation, or duress;
f. A refusal to cooperate was based on advice
from legal counsel or other officials that the individual was not required to comply with
security processing requirements and, upon being made aware of the requirement, fully and
truthfully provided the requested information;
g. Association with persons involved in
criminal activities has ceased.
Guideline F
Financial Considerations
The Concern. An individual
who is financially overextended is at risk of having to engage in illegal acts to generate
funds. Unexplained affluence is often linked to proceeds from financially profitable
criminal acts.
Conditions that could raise a security
concern and may be disqualifying include:
a. A history of not meeting financial
obligations;
b. Deceptive or illegal financial practices
such as embezzlement, employee theft, check fraud, income tax evasion, expense account
fraud, filing deceptive loan statements, and other intentional financial breaches of
trust;
c. Inability or unwillingness to satisfy
debts;
d. Unexplained affluence;
e. Financial problems that are linked to
gambling, drug abuse, alcoholism, or other issues of security concern.
Conditions that could mitigate
security concerns include:
a. The behavior was not recent;
b. It was an isolated incident;
c. The conditions that resulted in the
behavior were largely beyond the person's control (e.g., loss of employment, a business
downturn, unexpected medical emergency, or a death, divorce or separation);
d. The person has received or is receiving
counseling for the problem and there are clear indications that the problem is being
resolved or is under control;
e. The affluence resulted from a legal
source; and
f. The individual initiated a good-faith
effort to repay overdue creditors or otherwise resolve debts.
The Concern. Excessive
alcohol consumption often leads to the exercise of questionable judgment, unreliability,
failure to control impulses, and increases the risk of unauthorized disclosure of
classified information due to carelessness.
Conditions that could raise a security
concern and may be disqualifying include:
a. Alcohol-related incidents away from work,
such as driving while under the influence, fighting, child or spouse abuse, or other
criminal incidents related to alcohol use;
b. Alcohol-related incidents at work, such as
reporting for work or duty in an intoxicated or impaired condition, or drinking on the
job;
c. Diagnosis by a credentialed medical
professional (e.g., physician, clinical psychologist, or psychiatrist) of alcohol abuse or
alcohol dependence;
d. Evaluation of alcohol abuse or alcohol
dependence by a licensed clinical social worker who is a staff member of a recognized
alcohol treatment program;
e. Habitual or binge consumption of alcohol
to the point of impaired judgment;
f. Consumption of alcohol, subsequent to a
diagnosis of alcoholism by a credentialed medical professional and following completion of
an alcohol rehabilitation program
Conditions that could mitigate
security concerns include:
a. The alcohol related incidents do not
indicate a pattern;
b. The problem occurred a number of years ago
and there is no indication of a recent problem;
c. Positive changes in behavior supportive of
sobriety;
d. Following diagnosis of alcohol abuse or
alcohol dependence, the individual has successfully completed inpatient or outpatient
rehabilitation along with aftercare requirements, participates frequently in meetings of
Alcoholics Anonymous or a similar organization, has abstained from alcohol for a period of
at least 12 months, and received a favorable prognosis by a credentialed medical
professional or a licensed clinical social worker who is a staff member of a recognized
alcohol treatment program.
The Concern.
a. Improper or illegal involvement with
drugs, raises questions regarding an individual's willingness or ability to protect
classified information. Drug abuse or dependence may impair social or occupational
functioning, increasing the risk of an unauthorized disclosure of classified information.
b. Drugs are defined as mood and behavior
altering substances and include:
(1) Drugs, materials, and other chemical
compounds identified and listed in the Controlled Substances Act of 1970, as amended
(e.g., marijuana or cannabis, depressants, narcotics, stimulants, and hallucinogens), and
(2) Inhalants and other similar substances.
c. Drug abuse is the illegal use of a drug or
use of a legal drug in a manner that deviates from approved medical direction.
Conditions that could raise a security
concern and may be disqualifying include:
a. Any drug abuse (see above definition);
b. Illegal drug possession, including
cultivation, processing, manufacture, purchase, sale, or distribution;
c. Diagnosis by a credentialed medical
professional (e.g., physician, clinical psychologist, or psychiatrist) of drug abuse or
drug dependence;
d. Evaluation of drug abuse or drug
dependence by a licensed clinical social worker who is a staff member of a recognized drug
treatment program;
e. Failure to successfully complete a drug
treatment program prescribed by a credentialed medical professional. Recent drug
involvement, especially following the granting of a security clearance, or an expressed
intent not to discontinue use, will almost invariably result in an unfavorable
determination.
Conditions that could mitigate
security concerns include:
a. The drug involvement was not recent;
b. The drug involvement was an isolated or
aberrational event;
c. A demonstrated intent not to abuse any
drugs in the future;
d. Satisfactory completion of a prescribed
drug treatment program, including rehabilitation and aftercare requirements, without
recurrence of abuse, and a favorable prognosis by a credentialed medical professional.
Guideline I
Emotional, Mental, and Personality Disorders
The Concern. Emotional,
mental, and personality disorders can cause a significant deficit in an individual's
psychological, social and occupational functioning. These disorders are of security
concern because they may indicate a defect in judgment, reliability or stability. A
credentialed mental health professional (e.g., clinical psychologist or psychiatrist),
employed by, acceptable to, or approved by the government, should be utilized in
evaluating potentially disqualifying and mitigating information fully and properly, and
particularly for consultation with the individual's mental health care provider.
Conditions that could raise a security
concern and may be disqualifying include:
a. An opinion by a credentialed mental health
professional that the individual has a condition or treatment that may indicate a defect
in judgment, reliability, or stability;
b. Information that suggests that an
individual has failed to follow appropriate medical advice relating to treatment of a
condition, e.g. failure to take prescribed medication;
c. A pattern of high-risk, irresponsible,
aggressive, anti-social or emotionally unstable behavior;
d. Information that suggests that the
individual's current behavior indicates a defect in his or her judgment or reliability.
Conditions that could mitigate
security concerns include:
a. There is no indication of a current
problem;
b. Recent opinion by a credentialed mental
health professional that an individual's previous emotional, mental, or personality
disorder is cured, under control or in remission and has a low probability of recurrence
or exacerbation;
c. The past emotional instability was a
temporary condition (e.g., one caused by a death, illness, or marital breakup), the
situation has been resolved, and the individual is no longer emotionally unstable.
The Concern. A history or
pattern of criminal activity creates doubt about a person's judgment, reliability and
trustworthiness.
Conditions that could raise a security
concern and may be disqualifying include:
a. Allegations or admissions of criminal
conduct, regardless of whether the person was formally charged;
b. A single serious crime or multiple lesser
offenses.
Conditions that could mitigate
security concerns include:
a. The criminal behavior was not recent;
b. The crime was an isolated incident;
c. The person was pressured or coerced into
committing the act and those pressures are no longer present in that person's life;
d. The person did not voluntarily commit the
act and/or the factors leading to the violation are not likely to recur;
e. Acquittal
f. There is clear evidence of successful
rehabilitation.
The Concern: Noncompliance
with security regulations raises doubt about an individual's trustworthiness, willingness,
and ability to safeguard classified information.
Conditions that could raise a security
concern and may be disqualifying include:
a. Unauthorized disclosure of classified
information;
b. Violations that are deliberate or multiple
or due to negligence.
Conditions that could mitigate
security concerns include actions that:
a. Were inadvertent;
b. Were isolated or infrequent;
c. Were due to improper or inadequate
training;
d. Demonstrate a positive attitude towards
the discharge of security responsibilities.
The Concern. Involvement in
certain types of outside employment or activities is of security concern if it poses a
conflict with an individual's security responsibilities and could create an increased risk
of unauthorized disclosure of classified information.
Conditions that could raise a security
concern and may be disqualifying include:
Any service, whether compensated, volunteer,
or employment with:
a. A foreign country;
b. Any foreign national;
c. A representative of any foreign interest;
d. Any foreign, domestic, or international
organization or person engaged in analysis, discussion, or publication of material on
intelligence, defense, foreign affairs, or protected technology.
Conditions that could mitigate
security concerns include:
a. Evaluation of the outside employment or
activity indicates that it does not pose a conflict with an individual's security
responsibilities;
b. The individual terminates the employment
or discontinues the activity upon being notified that it is in conflict with his or her
security responsibilities.
Guideline L
Misuse of Information Technology Systems
The Concern. Noncompliance
with rules, procedures, guidelines or regulations pertaining to information technology
systems may raise security concerns about an individual's trustworthiness, willingness,
and ability to properly protect classified systems, networks, and information. Information
Technology Systems include all related equipment used for the communication, transmission,
processing, manipulation, and storage of classified or sensitive information.
Conditions that could raise a security
concern and may be disqualifying include:
a. Illegal or unauthorized entry into any
information technology system;
b. Illegal or unauthorized modification,
destruction, manipulation, or denial of access to information residing on an information
technology system;
c. Removal (or use) of hardware, software or
media from any information technology system without authorization, when specifically
prohibited by rules, procedures, guidelines or regulations;
d. Introduction of hardware, software or
media into any information technology system without authorization, when specifically
prohibited by rules, procedures, guidelines or regulations;
Conditions that could mitigate
security concerns include:
a. The misuse was not recent or significant;
b. The conduct was unintentional or
inadvertent;
c. The introduction or removal of media was
authorized;
d. The misuse was an isolated event;
e. The misuse was followed immediately by a
prompt, good faith effort to correct the situation.
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