Adjudicative Desk Reference - DHRA

1 Adjudicative Desk Reference Assisting Security Clearance Adjudicators, Investigators, and Security Managers in Implementing the Government Personnel Security Program Version 4. March 2014. Defense Personnel and Security Research Center Defense Manpower Data Center UNCLASSIFIED. Approving Authority: The Adjudicative Desk Reference (ADR) is recommended by the Security Executive Agent Advisory Committee as a job aid for personnel security adjudicators, investigators, and managers. However, it is not Government policy and may not be cited as authority for denial or revocation of access. It is background information obtained largely through library research.

2 The ADR was developed by the Department of Defense Personnel and Security Research Center Division of the Defense Manpower Data Center for use by the Government security community. This is version 4 dated March 2014. User Input: User input is needed to make the ADR as useful as possible and to guide future updates. Individual users, as well as supervisors and managers, are invited to communicate directly and informally concerning suggested additions, deletions, changes, questions or comments regarding this product. Send user input and comments to Table of Contents*. Adjudicative Desk Reference * Page Policies and Standards Page Using the New ADR Version 4 3 Adjudicative Guidelines for Determining Eligibility for Access to Classified Information 365.

3 Introduction to Adjudication 4. Investigative Standards For Background Alcohol Consumption 8. Investigations For Access to Classified Allegiance 33 Information 385. Criminal Conduct 48 Executive Order 13467 396. Drug Involvement 81 Executive Order 12968 405. Finances Affluence 106 Executive Order 12829 420. Finances Compulsive Gambling 115 Executive Order 10865 428. Finances Debt 132 Executive Order 10450 434. Foreign Influence 157 Intelligence Community Directive 704: Personnel Security Standards/Procedures 442. Foreign Preference 181. Intelligence Community Policy Directive : Handling Protected Information 199.

4 Investigative Standards and Procedures 448. Outside Activities 214. Intelligence Community Policy Guidance : Personal Conduct 222 Adjudicative Guidelines 460. Personal Conduct Falsification 239 Intelligence Community Policy Guidance 481. Psychological Conditions 254 Intelligence Community Policy Guidance 485. Sexual Behavior 298 Intelligence Community Policy Guidance 491. Use of IT Systems 356 Security Executive Agent Directive 1 495. *An Index of Terms (page 501) is included to assist in locating key terms. Using the New ADR Version 4 Index Page Using the New ADR Version 4. How to Use the ADR. PERSEREC converted the maintenance-heavy HTML ADR to a PDF with improved user conveniences.

5 ADR Version 4 is a single PDF file designed to function with the conveniences of HTML. Users can now more easily search for terms of interest throughout the entire ADR, print to hardcopy, and download and distribute the ADR. A comprehensive Index of Terms (page 501) was also added to assist in locating key terms throughout the ADR. This is version 4 dated March 2014. The following tips on how to use this version may be helpful: Hyperlinks: Blue text represents a hyperlink enabling you to jump to the section indicated. The top of each page has navigation links enabling you to return to the first page of a given chapter (where the chapter-specific table of contents resides) or to the ADR's primary table of contents located at the beginning of the document.

6 In-text links and page references to other sections help facilitate easy navigation whether you are using the ADR in softcopy or hardcopy format. Previous View: To return to your previous page after clicking a link, right-click on the ADR and select Previous View from the context menu (this serves the same function as an HTML browser's Back button). Optionally, you can right- click on Acrobat's toolbar and select Page Navigation Previous View from the context menu (which will activate the Previous View button on the Acrobat toolbar that can be pressed to return to the previous page). This feature is particularly useful in navigating the large, complex ADR.

7 ADR Version 4 Revisions PERSEREC has updated ADR content where possible to reflect current research. Handling Protected Information (page 199), Outside Activities (page 214), and Use of IT Systems (page 356) received the most extensive revisions. ADR Download Version 4 can be downloaded from the PERSEREC web site at At this site, click on Products, then on Adjudicative Desk Reference , and then on Download Product. Updates will be available periodically on this website. Section 508 Compliance The ADR complies with all stipulations of disabled person accessibility rules. 3. Introduction to Adjudication Index Page Introduction to Adjudication Adjudicative Process _____ 4.

8 Whole Person Concept _____ 5. Evaluating Sources and Information _____ 6. Adjudicative Process The adjudication process seeks reasonable assurance that persons granted access to classified information are persons: ..whose personal and professional history affirmatively indicates loyalty to the United States, strength of character, trustworthiness, honesty, reliability, discretion, and sound judgment, as well as freedom from conflicting allegiances and potential for coercion, and willingness and ability to abide by regulations governing the use, handling, and protection of classified information. Source: Executive Order 12968, Access to Classified Information, dated August 4, 1995.

9 Adjudicative decisions are made by applying broad principles to a set of specific circumstances. Executive Order 12968 (page 405) and Adjudicative Guidelines (page 365) establish the principles. The background resources in this desktop Reference provide information to assist in the identification and evaluation of behaviors and circumstances that are relevant to security decisions. The information here illustrates how these principles might be applied to the circumstances of specific cases. Neither the Adjudicative Guidelines nor this desktop Reference provides specific thresholds which tell the adjudicator when to approve or disapprove access to classified information in any individual case.

10 The complexity of human behavior severely limits any ability to codify such thresholds for making Adjudicative decisions. The adjudicator in each case must make what is called a whole-person judgment based on all available information about an individual's reliability and trustworthiness. This includes favorable information, unfavorable information, circumstances that may mitigate the unfavorable information, and circumstances that may affect the credibility of the information. A fundamental security principle is that all doubts concerning personnel having access to classified data shall be resolved in favor of national security.