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Adjudicative Guidelines -

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FISWGDecember 12, 2012
Joe Jessop & Jackie Spurlock
Adverse Information
Any information that adversely reflects on the integrity or character of a cleared employee, that suggests that his or her ability to safeguard classified information may be impaired, or that his or her access to classified information clearly may not be in the interest of national security.
Adjudicative Guidelines
The13 Adjudicative Guidelinesare used indetermining eligibility to perform sensitiveduties as well as evaluatingthe impact of a potentially derogatory event.Allegianceto the U.S.ForeigninfluenceForeignpreferenceSexualbehaviorPersonalconductFinancialconsiderationsAlcoholconsumptionDruginvolvementPsychologicalconditionsCriminalconductHandling protectedinformationOutsideactivitiesUse of information technologysystems
Guideline A: Allegiance to the United States
Involvement in, support of, training to commit, or advocacy of any act of sabotage, espionage, treason, terrorism, or sedition against the United States of AmericaAssociation or sympathy with persons who are attempting to commit, or who are committing, any of the above actsAssociation or sympathy with persons or organizations that advocate, threaten, or use force or violence, or use any other illegal or unconstitutional means
Guideline B: Foreign Influence
Contact with a foreign family member, business or professional associate, friend, or other person who is a citizen of or resident in a foreign country if that contact creates a heightened risk of foreign exploitation, inducement, manipulation, pressure, or coercion;Connections to a foreign person, group, government, or country that create a potential conflict of interest between the individual's obligation to protect sensitive information or technology and the individual's desire to help a foreign person, group, or country by providing that information;Counterintelligence information, that may be classified, indicates that the individual's access to protected information may involve unacceptable risk to national security;Sharing living quarters with a person or persons, regardless of citizenship status, if that relationship creates a heightened risk of foreign inducement, manipulation, pressure, or coercion;A substantial business, financial, or property interest in a foreign country, or in any foreign-owned or foreign-operated business, which could subject the individual to heightened risk of foreign influence or exploitation;Failure to report, when required, association with a foreign national;Unauthorized association with a suspected or known agent, associate, or employee of a foreign intelligence service;Indications that representatives or nationals from a foreign country are acting to increase the vulnerability of the individual to possible future exploitation, inducement, manipulation, pressure, or coercion;Conduct, especially while traveling outside the U.S., which may make the individual vulnerable to exploitation, pressure, or coercion by a foreign person, group, government, or country.
Guideline C: Foreign Preference
Exercise of any right, privilege or obligation of foreign citizenship after becoming a U.S. citizen or through the foreign citizenship of a family member: for example: possession of a current foreign passport; military service or willingness to bear arms for a foreign country; accepting educational, medical, social welfare or other benefits from a foreign country; residence in foreign country to meet citizenship requirements; using foreign citizenship to protect financial/business interests; seeking holding political office in foreign country; voting in foreign electionAction to acquire or obtain recognition of a foreign citizenship by an American citizenPerforming or attempting to perform duties, or otherwise acting, so as to serve the interests of a foreign person, group, organization, or government in conflict with the national security interestAny statement or action that shows allegiance to a country other than the United States: for example, declaration of intent to renounce United States citizenship; renunciation of United States citizenship
Guideline D: Sexual Behavior
Sexual behavior of a criminal nature, whether or not the individual has been prosecuted;A pattern of compulsive, self-destructive, or high-risk sexual behavior that the person is unable to stop or that may be symptomatic of a personality disorder;Sexual behavior that causes an individual to be vulnerable to coercion, exploitation, or duress;Sexual behavior of a public nature and/or that which reflects lack of discretion or judgment.
Guideline E: Personal Conduct
Refusal, or failure without reasonable cause, to undergo or cooperate with security processing, including but not limited to meeting with a security investigator for subject interview, completing security forms or releases, and cooperation with medical or psychological evaluationRefusal to 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 determinationDeliberate omission, concealment, or falsification of relevant 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 responsibilitiesDeliberately providing false or misleading information concerning relevant facts to an employer, investigator, security official, competent medical authority, or other official government representativeCredible adverse information in several adjudicative issue areas that is not sufficient for an adverse determination under any other single guideline, but which, when considered as a whole, supports a whole-person assessment of questionable judgment, untrustworthiness, unreliability, lack of candor, unwillingness to comply with rules and regulations, or other characteristics indicating that the person may not properly safeguard protected informationCredible adverse information that is not explicitly covered under any other guideline and may not be sufficient by itself for an adverse determination, but which, when combined with all available information supports a whole-person assessment of questionable judgment, untrustworthiness, unreliability, lack of candor, unwillingness to comply with rules and regulations, or other characteristics indicating that the person may not properly safeguard protected information
Guideline F: Financial considerations
Inability or unwillingness to satisfy debts (bankruptcy, foreclosure, short sale, garnishments etc.)Indebtedness caused by frivolous or irresponsible spending and the absence of any evidence of willingness or intent to pay the debt or establish a realistic plan to pay the debtA history of not meeting financial obligationsDeceptive 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 trustConsistent spending beyond one's means, which may be indicated by excessive indebtedness, significant negative cash flow, high debt-to-income ratio, and/or other financial analysisFinancial problems that are linked to drug abuse, alcoholism, gambling problems, or other issues of security concernFailure to file annual Federal, state, or local income tax returns as required or the fraudulent filing of the sameUnexplained affluence, as shown by a lifestyle or standard of living, increase in net worth, or money transfers that cannot be explained by subject's known legal sources of incomeCompulsive or addictive gambling as indicated by an unsuccessful attempt to stop gambling, "chasing losses" (i.e. increasing the bets or returning another day in an effort to get even), concealment of gambling losses, borrowing money to fund gambling or pay gambling debts, family conflict or other problems caused by gambling
Guideline G: Alcohol Consumption
Alcohol-related incidents away from work, such as driving while under the influence, fighting, child or spouse abuse, disturbing the peace, or other incidents of concern, regardless of whether the individual is diagnosed as an alcohol abuser or alcohol dependentAlcohol-related incidents at work, such as reporting for work or duty in an intoxicated or impaired condition, or drinking on the job, regardless of whether the individual is diagnosed as an alcohol abuser or alcohol dependentHabitual or binge consumption of alcohol to the point of impaired judgment, regardless of whether the individual is diagnosed as an alcohol abuser or alcohol dependentDiagnosis by a duly qualified medical professional (e.g., physician, clinical psychologist, or psychiatrist) of alcohol abuse or alcohol dependenceEvaluation of alcohol abuse or alcohol dependence by a licensed clinical social worker who is a staff member of a recognized alcohol treatment programRelapse after diagnosis of alcohol abuse or dependence and completion of an alcohol rehabilitation programFailure to follow any court order regarding alcohol education, evaluation, treatment, or abstinence
Guideline H: Drug Involvement
Any drug abuse (illegal use of a drug or use of a legal drug in a manner that deviates from approved medical direction)Testing positive for illegal drug useIllegal drug possession, including cultivation, processing, manufacture, purchase, sale, or distribution; or possession of drug paraphernaliaDiagnosis by a duly qualified medical professional (e.g., physician, clinical psychologist, or psychiatrist) of drug abuse or drug dependenceEvaluation of drug abuse or drug dependence by a licensed clinical social worker who is a staff member of a recognized drug treatment programFailure to successfully complete a drug treatment program prescribed by a duly qualified medical professionalAny illegal drug use after being granted a security clearanceExpressed intent to continue illegal drug use, or failure to clearly and convincingly commit to discontinue drug use
Guideline I: Psychological Conditions
Behavior that casts doubt on an individual's judgment, reliability, or trustworthiness that is not covered under any other guideline, including but not limited to emotionally unstable, irresponsible, dysfunctional, violent, paranoid, or bizarre behaviorAn opinion by a duly qualified mental health professional that the individual has a condition not covered under any other guideline that may impair judgment, reliability, or trustworthinessThe individual has failed to follow treatment advice related to a diagnosed emotional, mental, or personality condition, e.g. failure to take prescribed medication
Guideline J: Criminal Conduct
A single serious crime or multiple lesser offensesDischarge or dismissal from the Armed Forces under dishonorable conditionsAllegation or admission of criminal conduct, regardless of whether the person was formally charged, formally prosecuted or convictedIndividual is currently on parole or probationViolation of parole or probation, or failure to complete a court-mandated rehabilitation program
Guideline K: Security Violations
Deliberate or negligent disclosure of classified or other protected information to unauthorized persons, including but not limited to personal or business contacts, to the media, or to persons present at seminars, meetings, or conferencesCollecting or storing classified or other protected information in any unauthorized locationLoading, drafting, editing, modifying, storing, transmitting, or otherwise handling classified reports, data, or other information on any unapproved equipment including but not limited to any typewriter, word processor, or computer hardware, software, drive, system,gameboard, handheld, "palm" or pocket device or other adjunct equipmentInappropriate efforts to obtain or view classified or other protected information outside one's need to knowCopying classified or other protected information in a manner designed to conceal or remove classification or other document control markingsViewing or downloading information from a secure system when the information is beyond the individual's need to knowAny failure to comply with rules for the protection of classified or other sensitive informationNegligence or lax security habits that persist despite counseling by managementFailure to comply with rules or regulations that results in damage to the National Security, regardless of whether it was deliberate or negligent
Guideline L: Outside Activities
Any employment or service, whether compensated or volunteer, with the government of a foreign country; any foreign national, organization, or other entity; representative of any foreign interest; any foreign, domestic, or international organization or person engaged in analysis, discussion, or publication of material on intelligence, defense, foreign affairs, or protected technologyFailure to report or fully disclose an outside activity when this is required
Guideline M: Misuse of Information Technology
Illegal or unauthorized entry into any information technology system or component thereofIllegal or unauthorized modification, destruction, manipulation or denial of access to information, software, firmware, or hardware in an information technology systemUse of any information technology system to gain unauthorized access to another system or to a compartmented area within the same systemDownloading, storing, or transmitting classified information on or to any unauthorized software, hardware, or information technology systemUnauthorized use of a government or other information technology systemIntroduction, removal, or duplication of hardware, firmware, software, or media to or from any information technology system without authorization, when prohibited by rules, procedures, guidelines or regulationsNegligence or lax security habits in handling information technology that persist despite counseling by managementAny misuse of information technology, whether deliberate or negligent, that results in damage to the national security
Ways to report adverse information
Report adverse information through JPASFax adverse information toDoDCAFat 301-833-3912Notify local DSS Rep





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Adjudicative Guidelines -