PART 147—ADJUDICATIVE GUIDELINES FOR DETERMINING ELIGIBILITY FOR ACCESS TO CLASSIFIED INFORMATION Authority: E.O. 12968 (60 FR 40245, 3 CFR 1995 Comp., p 391). Source: 63 FR 4573, Jan. 30, 1998, unless otherwise noted. Subpart A—Adjudication § 147.1 Introduction. The following adjudicative guidelines are established for all United States 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 and special access programs and are to be used by government departments and agencies in all final clearance determinations. § 147.2 Adjudicative process. (a) 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 actors: (1) The nature, extent, and seriousness of the conduct; (2) The circumstances surrounding the conduct, to include knowledgeable participation; (3) The frequency and recency of the conduct; (4) The individual's age and maturity at the time of the conduct; (5) The voluntariness of participation; (6) The presence or absence of rehabilitation and other pertinent behavioral changes; (7) The motivation for the conduct; (8) The potential for pressure, coercion, exploitation, or duress; (9) The likelihood of continuation of recurrence. (b) 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. (c) 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: (1) Guideline A: Allegiance to the United States. (2) Guideline B: Foreign influence. (3) Guideline C: Foreign preference. (4) Guideline D: Sexual behavior. (5) Guideline E: Personal conduct. (6) Guideline F: Financial considerations. (7) Guideline G: Alcohol consumption. (8) Guideline H: Drug involvement. (9) Guideline I: Emotional, mental, and personality disorders. (10) Guideline J: Criminal conduct. (11) Guideline K: Security violations. (12) Guideline L: Outside activities. (13) Guideline M: Misuse of Information Technology Systems. (d) 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 investigations may be terminated by an appropriate adjudicative agency in the face of reliable, significant, disqualifying, adverse information. (e) 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: (1) Voluntarily reported the information; (2) Was truthful and complete in responding to questions; (3) Sought assistance and followed professional guidance, where appropriate; (4) Resolved or appears likely to favorably resolve the security concern; (5) Has demonstrated positive changes in behavior and employment; (6) Should have his or her access temporarily suspended pending final adjudication of the information. (f) 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. § 147.3 Guideline A—Allegiance to the United States. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (2) Association or sympathy with persons who are attempting to commit, or who are committing, any of the above acts; (3) 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; (4) 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. (c) Conditions that could mitigate security concerns include: (2) The individual's involvement was only with the lawful or humanitarian aspects of such an organization; (3) Involvement in the above activities occurred for only a short period of time and was attributable to curiosity or academic interest; (4) The person has had no recent involvement or association with such activities. § 147.4 Guideline B—Foreign influence. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (2) Sharing living quarters with a person or persons, regardless of their citizenship status, if the potential for adverse foreign influence or duress exists; (3) Relatives, cohabitants, or associates who are connected with any foreign government; (4) Failing to report, where required, associations with foreign nationals; (5) Unauthorized association with a suspected or known collaborator or employee of a foreign intelligence service; (6) Conduct which may make the individual vulnerable to coercion, exploitation, or pressure by a foreign government; (7) 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; (8) A substantial financial interest in a country, or in any foreign owned or operated business that could make the individual vulnerable to foreign influence. (c) Conditions that could mitigate security concerns include: (2) Contacts with foreign citizens are the result of official United States Government business; (3) Contact and correspondence with foreign citizens are casual and infrequent; (4) 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; (5) Foreign financial interests are minimal and not sufficient to affect the individual's security responsibilities. § 147.5 Guideline C—Foreign preference. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (1) The exercise of dual citizenship; (2) Possession and/or use of a foreign passport; (3) Military service or a willingness to bear arms for a foreign country; (4) Accepting educational, medical, or other benefits, such as retirement and social welfare, from a foreign country; (5) Residence in a foreign country to meet citizenship requirements; (6) Using foreign citizenship to protect financial or business interests in another country; (7) Seeking or holding political office in the foreign country; (8) Voting in foreign elections; (9) 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. (c) Conditions that could mitigate security concerns include: (2) Indicators of possible foreign preference (e.g., foreign military service) occurred before obtaining United States citizenship; (3) Activity is sanctioned by the United States; (4) Individual has expressed a willingness to renounce dual citizenship. § 147.6 Guidance D—Sexual behavior. (a) The concern. 1 1 (b) Conditions that could raise a security concern and may be disqualifying include: (2) Compulsive or addictive sexual behavior when the person is unable to stop a pattern or self-destructive or high-risk behavior or that which is symptomatic of a personally disorder; (3) Sexual behavior that causes an individual to be vulnerable to coercion, exploitation, or duress; (4) Sexual behavior of a public nature and/or that which reflects lack of discretion or judgment. (c) Conditions that could mitigate security concerns include: (2) The behavior was not recent and there is no evidence of subsequent conduct of a similar nature; (3) There is no other evidence of questionable judgment, irresponsibility, or emotional instability; (4) The behavior no longer serves as a basis for coercion, exploitation, or duress. § 147.7 Guideline E—Personal conduct. (a) The concern. (1) Refusal to undergo or cooperate with required security processing, including medical and psychological testing; (2) Refusal to complete required security forms, releases, or provide full, frank and truthful answers to lawful questions of investigators, security officials or other representatives in connection with a personnel security or trustworthiness determination. (b) Conditions that could raise a security concern and may be disqualifying also include: (2) 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; (3) Deliberately providing false or misleading information concerning relevant and material matters to an investigator, security official, competent medical authority, or other representative in connection with a personnel security or trustworthiness determination; (4) Personal conduct or concealment of information that may increase an individual's vulnerability to coercion, exploitation, or duties, 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; (5) A pattern of dishonesty or rule violations, including violation of any written or recorded agreement made between the individual and the agency; (6) Association with persons involved in criminal activity. (c) Conditions that could mitigate security concerns include: (2) The falsification was an isolated incident, was not recent, and the individual has subsequently provided correct information voluntarily; (3) The individual made prompt, good faith efforts to correct the falsification before being confronted with the facts; (4) 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; (5) The individual has taken positive steps to significantly reduce or eliminate vulnerability to coercion, exploitation, or duress; (6) 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; (7) Association with persons involved in criminal activities has ceased. § 147.8 Guideline F—Financial considerations. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (2) 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; (3) Inability or unwillingness to satisfy debts; (4) Unexplained affluence; (5) Financial problems that are linked to gambling, drug abuse, alcoholism, or other issues of security concern. (c) Conditions that could mitigate security concerns include: (2) It was an isolated incident; (3) 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); (4) 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; (5) The affluence resulted from a legal source; (6) The individual initiated a good-faith effort to repay overdue creditors or otherwise resolve debts. § 147.9 Guideline G—Alcohol consumption. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (2) Alcohol-related incidents at work, such as reporting for work or duty in an intoxicated or impaired condition, or drinking on the job; (3) Diagnosis by a credentialed medical professional (e.g., physician, clinical psychologist, or psychiatrist) of alcohol abuse or alcohol dependence; (4) Evaluation of alcohol abuse or alcohol dependence by a licensed clinical social worker who is a staff member of a recognized alcohol treatment program; (5) Habitual or binge consumption of alcohol to the point of impaired judgment; (6) Consumption of alcohol, subsequent to a diagnosis of alcoholism by a credentialed medical professional and following completion of an alcohol rehabilitation program. (c) Conditions that could mitigate security concerns include: (2) The problem occurred a number of years ago and there is no indication of a recent problem; (3) Positive changes in behavior supportive of sobriety; (4) Following diagnosis of alcohol abuse or alcohol dependence, the individual has successfully completed impatient 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. § 147.10 Guideline H—Drug involvement. (a) The concern. (2) Drugs are defined as mood and behavior altering substances, and include: (i) 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), (ii) Inhalants and other similar substances. (3) Drug abuse is the illegal use of a drug or use of a legal drug in a manner that deviates from approved medical direction. (b) Conditions that could raise a security concern and may be disqualifying include: (2) Illegal drug possession, including cultivation, processing, manufacture, purchase, sale, or distribution; (3) Diagnosis by a credentialed medical professional (e.g., physician, clinical psychologist, or psychiatrist) of drug abuse or drug dependence; (4) Evaluation of drug abuse or drug dependence by a licensed clinical social worker who is a staff member of a recognized drug treatment program; (5) 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. (c) Conditions that could mitigate security concerns include: (2) The drug involvement was an isolated or aberration event; (3) A demonstrated intent not to abuse any drugs in the future; (4) 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. § 147.11 Guideline I—Emotional, mental, and personality disorders. (a) The concern: (b) Conditions that could raise a security concern and may be disqualifying include: (2) 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; (3) A pattern of high-risk, irresponsible, aggressive, anti-social or emotionally unstable behavior; (4) Information that suggests that the individual's current behavior indicates a defect in his or her judgment or reliability. (c) Conditions that could mitigate security concerns include: (2) 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; (3) 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. § 147.12 Guideline J—Criminal conduct. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (2) A single serious crime or multiple lesser offenses. (c) Conditions that could mitigate security concerns include: (2) The crime was an isolated incident; (3) The person was pressured or coerced into committing the act and those pressures are no longer present in that person's life; (4) The person did not voluntarily commit the act and/or the factors leading to the violation are not likely to recur; (5) Acquittal; (6) There is clear evidence of successful rehabilitation. § 147.13 Guideline K—Security violations. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include. (2) Violations that are deliberate or multiple or due to negligence. (c) Conditions that could mitigate security concerns include actions that: (2) Were isolated or infrequent; (3) Were due to improper or inadequate training; (4) Demonstrate a positive attitude towards the discharge of security responsibilities. § 147.14 Guideline L—Outside activities. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include any service, whether compensated, volunteer, or employment with: (2) Any foreign national; (3) A representative of any foreign interest; (4) Any foreign, domestic, or international organization or person engaged in analysis, discussion, or publication of material on intelligence, defense, foreign affairs, or protected technology. (c) Conditions that could mitigate security concerns include: (2) The individual terminates the employment or discontinues the activity upon being notified that it is in conflict with his or her security responsibilities. § 147.15 Guideline M—Misuse of Information technology systems. (a) The concern. (b) Conditions that could raise a security concern and may be disqualifying include: (2) Illegal or unauthorized modification, destruction, manipulation or denial of access to information residing on an information technology system; (3) Removal (or use) of hardware, software, or media from any information technology system without authorization, when specifically prohibited by rules, procedures, guidelines or regulations; (4) Introduction of hardware, software, or media into any information technology system without authorization, when specifically prohibited by rules, procedures, guidelines or regulations. (c) Conditions that could mitigate security concerns include: (2) The conduct was unintentional or inadvertent; (3) The introduction or removal of media was authorized; (4) The misuse was an isolated event; (5) The misuse was followed by a prompt, good faith effort to correct the situation. Subpart B—Investigative Standards § 147.18 Introduction. The following investigative standards are established for all United States 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, to include Sensitive Compartmented Information and Special Access Programs, and are to be used by government departments and agencies as the investigative basis for final clearance determinations. However, nothing in these standards prohibits an agency from using any lawful investigative procedures in addition to these requirements in order to resolve any issue identified in the course of a background investigation or reinvestigation. § 147.19 The three standards. There are three standards (Attachment D to this subpart part summarizes when to use each one): (a) The investigation and reinvestigation standards for “L” access authorizations and for access to confidential and secret (including all secret-level Special Access Programs not specifically approved for enhanced investigative requirements by an official authorized to establish Special Access Programs by section in 4.4 of Executive Order 12958) (60 FR 19825, 3 CFR 1995 Comp., p. 33); (b) The investigation standard for “Q” access authorizations and for access to top secret (including top secret Special Access Programs) and Sensitive Compartmented Information; (c) The reinvestigation standard for continued access to the levels listed in paragraph (b) of this section. § 147.20 Exception to periods of coverage. Some elements of standards specify a period of coverage (e.g. seven years). Where appropriate, such coverage may be shortened to the period from the subject's eighteenth birthday to the present or to two years, whichever is longer. § 147.21 Expanding investigations. Investigations and reinvestigations may be expanded under the provisions of Executive Order 12968 (60 FR 40245, 3 CFR 1995 Comp., p. 391) and other applicable statutes and Executive Orders. § 147.22 Transferability. Investigations that satisfy the requirements of a given standard and are current meet the investigative requirements for all levels specified for the standard. They shall be mutually and reciprocally accepted by all agencies. § 147.23 Breaks in service. If a person who requires access has been retired or separated from U.S. government employment for less than two years and is the subject of an investigation that is otherwise current, the agency regranting the access will, as a minimum, review an updated Standard Form 86 and applicable records. A reinvestigation is not required unless the review indicates the person may no longer satisfy the standards of Executive Order 12968 (60 FR 40245, 3 CFR 1995 Comp., p. 391); (Attachment D to this subpart, Table 2). § 147.24 The national agency check. The National Agency Check is a part of all investigations and reinvestigations. It consists of a review of; (a) Investigative and criminal history files of the FBI, including a technical fingerprint search; (b) OPM's Security/Suitability Investigations Index; (c) DoD's Defense Clearance and Investigations Index; (d) Such other national agencies (e.g., CIA, INS) as appropriate to the individual's background. Attachment A to Subpart B of Part 147—Standard A—National Agency Check With Local Agency Checks and Credit Check (NACLC) (a) Applicability. (1) Access to CONFIDENTIAL and SECRET (including all SECRET-level Special Access Programs not specifically approved for enhanced investigative requirements by an official authorized to establish Special Access Programs by sect. 4.4 of Executive Order 12958) (60 FR 19825, 3 CFR 1995 Comp., p. 333); (2) “L” access authorizations. (b) For Reinvestigation: When to Reinvestigate. (c) Investigative Requirements. (1) Completion of Forms: (2) National Agency Check: (3) Financial Review: (4) Date and Place of Birth: (5) Local Agency Checks: (d) Expanding the Investigation: Attachment B to Subpart B of Part 147—Standard B—Single Scope Background Investigation (SSBI) (a) Applicability. (1) Access to TOP SECRET (including TOP SECRET Special Access Programs) and Sensitive Compartment Information; (2) “Q” access authorizations. (b) Investigative Requirements. (1) Completion of Forms: (2) National Agency Check: (3) National Agency Check for the Spouse or Cohabitant (if applicable): (4) Date and Place of Birth: (5) Citizenship: (6) Education: (7) Employment: (8) References: (9) Former Spouse: (10) Neighborhoods: (11) Financial Review: (12) Local Agency Checks: Note: If no residence, employment, or education exceeds six months, local agency checks should be performed as deemed appropriate. (13) Public Records: (14) Subject Interview: (15) Polygraph (only in agencies with approved personnel security polygraph programs): (c) Expanding the Investigation. Attachment C to Subpart B of Part 147—Standard C—Single Scope Background Investigation Periodic Reinvestigation (SSBI-PR) (a) Applicability. (1) Access to TOP SECRET (including TOP SECRET Special Access Programs) and Sensitive Compartmented Information; (2) “Q” access authorizations. (b) When to Reinvestigate. (c) Reinvestigative Requirements. (1) Completion of Forms: (2) National Agency Check: (3) National Agency Check for the Spouse or Cohabitant (if applicable): (4) Employment: (5) References: (6) Neighborhoods: (7) Financial Review—Financial Status: (ii) Check of Treasury's Financial Data Base: (8) Local Agency Checks: (9) Former Spouse: (10) Public Records: (11) Subject Interview: (d) Expanding the Reinvestigation: Attachment D to Subpart B of Part 147—Decision Tables Table 1—Which Investigation to Request If the requirement is for And the person has this access Based on this investigation Then the investigation required is Using standard Confidential Secret; “L” None None NACLC A Out of date NACLC or SSBI Conf, Sec; “L” Top Secret, SCI; “Q” None None SSBI B None; Conf, Sec; “L” Current or out of date NACLC Out of date SSBI TS, SCI; “Q” SSBI-PR C Table 2—Reinvestigation Requirements If the requirement is for And the age of the investigation is Type required if there has been a break in service of 0-23 months 24 months or more Confidential 0 to 14 years. 11 mos None (note 1) NACLC 15 yrs. or more NACLC Secret; “L” 0 to 9 yrs 11 mos None (note 1) 10 yrs. or more NACLC Top Secret, SCI; “Q” 0 to 4 yrs. 11 mos None (note 1) SSBI 5 yrs or more SSBI-PR Note: Subpart C—Guidelines for Temporary Access § 147.28 Introduction. The following minimum investigative standards, implementing section 3.3 of Executive Order 12968, Access to Classified Information, § 147.29 Temporary eligibility for access. Based on a justified need meeting the requirements of section 3.3 of Executive Order 12968, temporary eligibility for access may be granted before investigations are complete and favorably adjudicated, where official functions must be performed prior to completion of the investigation and adjudication process. The temporary eligibility will be valid until completion of the investigation and adjudication; however, the agency granting it may revoke it at any time based on unfavorable information identified in the course of the investigation. § 147.30 Temporary eligibility for access at the confidential and secret levels and temporary eligibility for “L” access authorization. As a minimum, such temporary eligibility requires completion of the Standard Form 86, including any applicable supporting documentation, favorable review of the form by the appropriate adjudicating authority, and submission of a request for an expedited National Agency Check with Local Agency Checks and Credit (NACLC). § 147.31 Temporary eligibility for access at the top secret levels and temporary eligibility for “Q” access authorization: For someone who is the subject of a favorable investigation not meeting the investigative standards for access at those levels. As a minimum, such temporary eligibility requires completion of the Standard Form 86, including any applicable supporting documentation, favorable review of the form by the appropriate adjudicating authority, and expedited submission of a request for a Single Scope Background Investigation (SSBI). § 147.32 Temporary eligibility for access at the top secret and SCI levels and temporary eligibility for “Q” access authorization: For someone who is not the subject of a current, favorable personnel or personnel-security investigation of any kind. As a minimum, such temporary eligibility requires completion of the Standard Form 86, including any applicable supporting documentation, favorable review of the form by the appropriate adjudicating authority, immediate submission of a request for an expedited Single Scope Background Investigation (SSBI), and completion and favorable review by the appropriate adjudicating authority of relevant criminal history and investigative records of the Federal Bureau of Investigation and of information in the Security/Suitability Investigations Index (SII) and the Defense Clearance and Investigations Index (DCII). § 147.33 Additional requirements by agencies. Temporary eligibility for access must satisfy these minimum investigative standards, but agency heads may establish additional requirements based on the sensitivity of the particular, identified categories of classified information necessary to perform the lawful and authorized functions that are the basis for granting temporary eligibility for access. However, no additional requirements shall exceed the common standards for background investigations developed under section 3.2(b) of Executive Order 12968. Temporary eligibility for access is valid only at the agency granting it and at other agencies who expressly agree to accept it and acknowledge understanding of its investigative basis. It is further subject to limitations specified in sections 2.4(d) and 3.3 of Executive Order 12968, Access to Classified Information.