32 C.F.R. Appendix H to Part 154—Adjudication Policy
Title 32 - National Defense
General. The following adjudication policy has been developed to assist DoD adjudicators in making determinations with respect to an individual's eligibility for employment or retention in sensitive duties or eligibility for access to classified information. Adjudication policy relative to access to sensitive compartmented information is contained in DCID While reasonable consistency in reaching adjudicative determinations is desirable, the nature and complexities of human behavior preclude the development of a single set of guidelines or policies that is equally applicable in every personnel security case. Accordingly, the following adjudication policy is not intended to be interpreted as inflexible rules of procedure. The following policy requires dependence on the adjudicator's sound judgment, mature thinking, and careful analysis as each case must be weighed on its own merits, taking into consideration all relevant circumstances, and prior experience in similar cases as well as the guidelines contained in the adjudication policy, which have been compiled from common experience in personnel security determinations. Each adjudication is to be an overall common sense determination based upon consideration and assessment of all available information, both favorable and unfavorable, with particular emphasis being placed on the seriousness, recency, frequency and motivation for the individual's conduct; the extent to which conduct was negligent, willful, voluntary, or undertaken with knowledge of the circumstances or consequences involved; and, to the extent that it can be estimated, the probability that conduct will or will not continue in the future. The listed “Disqualifying Factors” and ”Mitigating Factors” in this set of Adjudication Policies reflect the consideration of those factors of seriousness, recency, frequency, motivation, etc., to common situations and types of behavior encountered in personnel security adjudications, and should be followed whenever an individual case can be measured against this policy guidance. Common sense may occasionally necessitate deviations from this policy guidance, but such deviations should not be frequently made and must be carefully explained and documented. The “Disqualifying Factors” provided herein establish some of the types of serious conduct under the criteria that can justify a determination to deny or revoke an individual's eligibility for access to classified information, or appointment to, or retention in sensitive duties. The “Mitigating Factors” establish some of the types of circumstances that may mitigate the conduct listed under the “Disqualifying Factors”. Any determination must include a consideration of both the conduct listed under “Disqualifying Factors” and any circumstances listed under the appropriate or corresponding “Mitigating Factors”. The adjudication policy is subdivided into sections appropriate to each of the criteria provided in §154.7 of this part, except §154.7(i) for which conduct under any of the “Disqualifying Factors” of the adjudication policy or any other types of conduct may be appropriately included, if it meets the definition of §154.7(i). In all adjudications, the protection of the national security shall be the paramount determinant. In the last analysis, a final decision in each case must be arrived at by applying the standard that the issuance of the clearance or assignment to the sensitive position is “clearly consistent with the interests of national security.” Loyalty (See §154.7 (a) through (d)). Basis: Commission of any act of sabotage, espionage, treason, terrorism, anarchy, sedition, or attempts threat or preparation therefor, or conspiring with or aiding or abetting another to commit or attempt to commit any such act. Establishing or continuing a sympathetic association with a saboteur, spy, traitor, seditionist, anarchist, terrorist, revolutionist, or with an espionage or other secret agent or similar representative of a foreign nation whose interests may be inimical to the interests of the United States, or with any person who advocates the use of force or violence to overthrow the Government of the United States or to alter the form of Government of the United States by unconstitutional means. Advocacy or use of force or violence to overthrow the Government of the United States or to alter the form of Government of the United States by unconstitutional means. Knowing membership with the specific intent of furthering the aims of, or adherence to and active participation in any foreign or domestic organization, association, movement, group or combination of persons (hereafter referred to as organizations) which unlawfully advocates or practices 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 or which seeks to overthrow the Government of the United States or any State or subdivision thereof by unlawful means. Disqualifying Factors (behavior falls within one or more of the following categories): 1. Furnishing a representative of a foreign government information or data which could damage the national security of the United States. 2. Membership in an organization that has been characterized by the Department of Justice as one which meets the criteria in the above cited “Basis.” 3. Knowing participation in acts that involve force or violence or threats of force or violence to prevent others from exercising their rights under the Constitution or to overthrow or alter the form of government of the United States or of any State. 4. Monetary contributions, service, or other support of the organization defined in “Basis”, above, with the intent of furthering the unlawful objectives of the organization. 5. Participation, support, aid, comfort or sympathetic association with persons, groups, organizations involved in terrorist activities, threats, or acts. 6. Evidence of continuing sympathy with the unlawful aims and objectives of such an organization, as defined in the “Basis” above. 7. Holding a position of major doctrinal or managerial influence in an organization as defined in the “Basis” above. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. Lack of knowledge or understanding of the unlawful aims of the organization. 2. Affiliation or activity occurred during adolescent/young adult years (17–25), more than 5 years has passed since affiliation was severed, and affiliation was due to immaturity. 3. Affiliation for less than a year out of curiosity or academic interest. 4. Sympathy or support limited to the lawful objectives of the organization. Foreign Preference (See §154.7(f)). Basis: Performing or attempting to one's perform duties, acceptance and active maintenance of dual citizenship, or other acts conducted in a manner which serve or which could be expected to serve the interests of another government in preference to the interests of the United States. Disqualifying Factors (behavior falls within one or more of the following categories): 1. The active maintenance of dual citizenship, by one or more of the following: a. Possession of a passport issued by a foreign nation and use of this passport to obtain legal entry into any sovereign state in preference to use of a U.S. passport. b. Military service in the armed forces of a foreign nation or the willingness to comply with an obligation to so serve, or the willingness to bear arms at any time in the future on behalf of the foreign state. c. Exercise or acceptance of rights, privileges or benefits offered by the foreign state to its citizens, (e.g., voting in a foreign election; receipt of honors or titles; financial compensation due to employment/retirement, educational or medical or other social welfare benefits), in preference to those of the United States. d. Travel to or residence in the foreign state for the purpose of fulfilling citizenship requirements or obligations. e. Maintenance of dual citizenship to protect financial interests, to include property ownership, or employment or inheritance rights in the foreign state. f. Registration for military service or registration with a foreign office, embassy or consulate to obtain benefits. 2. Employment as an agent or other official representative of a foreign government, or seeking or holding political office in a foreign state. 3. Use of a U.S. Government position of trust or responsibility to influence decisions in order to serve the interests of another government in preference to those of the United States. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. Claim of dual citizenship is with a foreign country whose interests are not inimical to those of the United States and is based solely on applicant's or applicant's parent(s)' birth, the applicant has not actively maintained citizenship in the last ten years and indicates he or she will not in the future act so as to pursue this claim. 2. Military service while a U.S. citizen was in the armed forces of a state whose interests are not inimical to those of the United States and such service was officially sanctioned by United States authorities. 3. Employment is as a consultant only and services provided is of the type sanctioned by the United States Government. Security Responsibility Safeguards (See §154.7 (g) and (e)). Basis: Disregard of public law, Statutes, Executive Orders or Regulations, including violation of security regulations or practices, or unauthorized disclosure to any person of classified information, or of other information, disclosure of which is prohibited by Statute, Executive Order or Regulation. Disqualifying Factors: (behavior falls within one or more of the following categories): 1. Deliberate or reckless disregard of security regulations, public law, statutes or Executive Orders which could have resulted in the loss or compromise of classified information. 2. Deliberate or reckless violations of security regulations, including, but not limited to, taking classified information home or carrying classified data while in a travel status without proper authorization, intentionally copying classified documents in order to obsure classification markings, disseminating classified information to cleared personnel who have no “need to know”, or disclosing classified information, or other information, disclosure of which is prohibited by Statute, Executive Order or Regulation, to persons who are not cleared or authorized to receive it. 3. Pattern of negligent conduct in handling or storing classified documents. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. Violation of security procedures was directly caused or significantly contributed to by an improper or inadequate security briefing, provided the individual reasonably relied on such briefing in good faith. 2. Individual is personally responsible for a large volume of classified information and the violation was merely administrative in nature. 3. Security violation was merely an isolated incident not involving deliberate or reckless violation of security policies, practices or procedures. Criminal Conduct (See §154.7(h)). Basis: Criminal or dishonest conduct. When it is determined that an applicant for a security clearance, or a person holding a clearance, has engaged in conduct which would constitute a felony under the laws of the United States, the clearance of such person shall be denied or revoked unless it is determined that there are compelling reasons to grant or continue such clearance. Compelling reasons can only be shown by clear and convincing evidence of the following: (a) The felonious conduct (1) did not involve an exceptionally grave offense; (2) was an isolated episode; and (3) the individual has demonstrated trustworthiness and respect for the law over an extended period since the offense occurred; or (b) The felonious conduct (1) did not involve an exceptionally grave offense; (2) was an isolated episode; (3) was due to the immaturity of the individual at the time it occurred; and (4) the individual has demonstrated maturity, trustworthiness, and respect for the law since that time; or (c) In cases where the individual has committed felonious conduct but was not convicted of a felony, there are extenuating circumstances which mitigate the seriousness of the conduct such that it does not reflect a lack of trustworthiness or respect for the law. The above criteria supersede all criteria previously used to adjudicate criminal conduct involving commission of felonies under the Laws of the United States. Involvement in criminal activities which does not constitute a felony under the laws of the United States shall be evaluated in accordance with the criteria set forth below. (For purposes of this paragraph, the term “felony” means any crime punishable by imprisonment for more than a year. The term “exceptionally grave offense” includes crimes against the Federal Government, its instrumentalities, officers, employees or agents; or involves dishonesty, fraud, bribery or false statement; or involves breach of trust or fiduciary duty; or involves serious threat to life or public safety.) Disqualifying Factors: (behavior falls within one or more of the following categories): 1. Criminal conduct involving: a. Commission of a State felony. b. Force, coercion, or intimidation. c. Firearms, explosives, or other weapons. d. Dishonesty or false statements, e.g. fraud, theft, embezzlement, falsification of documents or statements. e. Obstruction or corruption of government functions. f. Deprivation of civil rights. g. Violence against persons. 2. Criminal conduct punishable by confinement for one year or more. 3. An established pattern of criminal conduct, whether the individual was convicted or not. 4. Failure to complete a rehabilitation program resulting from disposition of a criminal proceeding or violation of probation, even if the violation did not result in formal revocation of probation. Rehabilitation should not be considered a success or failure while the individual is still on parole/probation. 5. Criminal conduct that is so recent in time as to preclude a determination that recurrence is unlikely. 6. Close and continuing association with persons known to the individual to be involved in criminal activities. 7. Criminal conduct indicative of a serious mental aberration, lack of remorse, or insufficient probability of rehabilitative success, (e.g., spouse or child abuse). 8. Disposition: a. Conviction. b. Disposition on a legal issue not going to the merits of the crime. c. Arrest or indictment pending trial when there is evidence that the individual engaged in the criminal conduct for which arrested or indicted. 9. Arrest record. In evaluating an arrest record, information that indicates that the individual was acquitted, that the charges were dropped or the subject of a “stet” or “nolle prosequi”, that the record was expunged, or that the cause was dismissed due to error not going to the merits, does not negate the security significance of the underlying conduct. Personnel security determinations are to be made on the basis of all available information concerning a person's conduct and actions rather than the legal outcome of a criminal proceeding. Mitigating Factors: (circumstances which may mitigate disqualifying information): 1. Immaturity attributable to the age of the individual at the time of the offense. 2. Extenuating circumstances surrounding the offense. 3. Circumstances indicating that the actual offense was less serious than the offense charged. 4. Isolated nature of the conduct. 5. Conduct occurring only in the distant past (such as more than 5 years ago) in the absence of subsequent criminal conduct. 6. Transitory conditions directly or significantly contributing to the conduct (such as divorce action, death in family, severe provocation) in the absence of subsequent criminal conduct. Mental or Emotional Disorders (See §154.7(j)). Basis: Any behavior or illness, including any mental condition, which, in the opinion of competent medical authority, may cause a defect in judgment or reliability with due regard to the transient or continuing effect of the illness and the medical findings in such case. Disqualifying Factors: (behavior or condition falls within one or more of the following categories): 1. Diagnosis by competent medical authority (board certified psychiatrist or clinical psychologist) that the individual has an illness or mental condition which may result in a significant defect in judgment or reliability. 2. Conduct or personality traits that are bizarre or reflect abnormal behavior or instability even though there has been no history of mental illness or treatment, but which nevertheless, in the opinion of competent medical authority, may cause a defect in judgment or reliability. 3. A diagnosis by competent medical authority that the individual suffers from mental or intellectual incompetence or mental retardation to a degree significant enough to establish or suggest that the individual could not recognize, understand or comprehend the necessity of security regulations, or procedures, or that judgment or reliability are significantly impaired, or that the individual could be influenced or swayed to act contrary to the national security. 4. Diagnosis by competent medical authority that an illness or condition that had affected judgment or reliability may recur even though the individual currently manifests no symptoms, or symptoms currently are reduced or in remission. 5. Failure to take prescribed medication or participate in treatment (including follow-up treatment or aftercare), or otherwise failing to follow medical advice relating to treatment of the illness or mental condition. Mitigating Factors: (circumstances which may mitigate disqualifying information): 1. Diagnosis by competent medical authority that an individual's previous mental or emotional illness or condition that did cause significant defect in judgment or reliability is cured and has no probability of recurrence, or such a minimal probability of recurrence as to reasonably estimate there will be none. 2. The contributing factors or circumstances which caused the bizarre conduct or traits, abnormal behavior, or defect in judgment and reliability have been eliminated or rectified, there is a corresponding alleviation of the individual's condition and the contributing factors or circumstances are not expected to recur. 3. Evidence of the individual's continued reliable use of prescribed medication for a period of at least two years, without recurrence and testimony by competent medical authority that continued maintenance of prescribed medication is medically practical and likely to preclude recurrence of the illness or condition affecting judgment or reliability. 4. There has been no evidence of a psychotic condition, a serious or disabling neurotic disorder, or a serious character or personality disorder for the past 10 years. Foreign Connections/Vulnerability to Blackmail or Coercion (See paragraph §154.7(k)). Basis: Vulnerability to coercion, influence, or pressure that may cause conduct contrary to the national interest. This may be (1) the presence of immediate family members or other persons to whom the applicant is bonded by affection or obligation in a nation (or areas under its domination) whose interests may be inimical to those of the United States, or (2) any other circumstances that could cause the applicant to be vulnerable. Disqualifying Factors: (behavior falls within one or more of the following categories): 1. Indications that the individual now is being blackmailed, pressured or coerced by any individual, group, association, organization or government. 2. Indications that a vulnerable individual actually has been targeted and/or approached for possible blackmail, coercion or pressure by any individual, group, association, organization or government. 3. Indications that the individual has acted to increase the vulnerability for future possible blackmail, coercion or pressure by any individual, group, association, organization or governments, especially by foreign intelligence services. Indicators include, but are not limited to the following: a. Failure to report to security officials any evidence, indication or suspicion that mail to relatives has been opened, unusually delayed or tampered with in any way, or that telephone calls have been monitored. b. An increase in curiosity or official or quasi-official inquiries about the individual to relatives in the country where they reside occasioned by the receipt of mail, packages, telephone calls or visits from the individual. c. Contact with, or visits by officials to the individual while visiting relatives in another country, to learn more about the individual, or the individual's employment or residence, etc. d. Unreported attempts to obtain classified or other sensitive information or data by representatives of a foreign country. 4. Conduct or actions by the individual while visiting in a country hostile to the United States that increase the individual's vulnerability to be targeted for possible blackmail, coercion or pressure. These include, but are not limited to the following: a. Violation of any laws of the foreign country where relatives reside during visits or through mailing letters or packages, (e.g., smuggling, currency exchange violations, unauthorized mailings, violations of postal regulations of the country, or any criminal conduct, including traffic violations) which may call the attention of officials to the individual. b. Frequent and regular visits, correspondence, or telephone contact with relatives in the country where they reside, increasing the likelihood of official notice. c. Failure to report to security officials those inquiries by friends or relatives for more than a normal level of curiosity concerning the individual's employment, sensitive duties, military service or access to classified information. d. Repeated telephone or written requests to the foreign government officials for official favors, permits, visas, travel permission, or similar requests which increase the likelihood of official notice. e. Reckless conduct, open or public misbehavior or commission of acts contrary to local customs or laws, or which violate the mores of the foreign country and increase the likelihood of official notice. f. Falsification of documents, lying to officials, harassing or taunting officials or otherwise acting to cause an increase in the likelihood of official notice or to increase the individual's vulnerability because personal freedom could be jeopardized. g. Commission of any illicit sexual act, drug purchase or use, drunkenness or similar conduct which increases the likelihood of official notice, or which increases the individual's vulnerability because personal freedom could be jeopardized. 5. Conduct or actions by the individual that increase the individual's vulnerability to possible coercion, blackmail or pressure, regardless of the country in which it occurred, including, but not limited to the following: a. Concealment or attempts to conceal from an employer prior unfavorable employment history, criminal conduct, mental or emotional disorders or treatment, drug or alcohol use, sexual preference, or sexual misconduct described under that section below, or fraudulent credentials or qualifications for employment. b. Concealment or attempts to conceal from immediate family members, or close associates, supervisors or coworkers, criminal conduct, mental or emotional disorders or treatment, drug or alcohol abuse, sexual preference, or sexual misconduct described under that section below. Mitigating Factors (circumstances which may mitigate disqualifying infomration): 1. The individual: a. Receives no financial assistance from and provides no financial assistance to persons or organizations in the designated country. b. Has been in the United States for at least 5 years since becoming a U.S. citizen without significant contact with persons or organizations from the designated country (each year of active service in the United States military may be counted). c. Has close ties of affection to immediate family members in the United States. d. Has adapted to the life-style in the United States, established substantive financial or other associations with U.S. enterprises or community activities. e. Prefers the way of life and form of government in the U.S. over the other country. f. Is willing to defend the U.S. against all threats including the designated country in question. g. Has not divulged the degree of association with the U.S. government or access to classified information to individuals in the designated country in question. h. Has not been contacted or approached by anyone or any organization from a designated country to provide information or favors, or to otherwise act for a person or organization in the designated country in question. i. Has promptly reported to proper authorities all attempted contacts, requests or threats from persons or organizations from the designated country. j. The individual is aware of the possible vulnerability to attempts of blackmail or coercion and has taken positive steps to reduce or eliminate such vulnerability. Financial Matters (See §154.7(1)). Basis: Excessive indebtedness, recurring financial difficulties, or unexplained affluence. Disqualifying Factors: (behavior falls within one or more of the following categories): 1. History of bad debts, garnishments, liens, repossessions, unfavorable judgments, delinquent or uncollectable accounts or debts written off by creditors as uncollectable losses with little or no apparent or voluntary effort by the individual to pay amounts owed. 2. Bankruptcy: a. Due to financial irresponsibility, or b. With continuing financial irresponsibility thereafter. 3. Indebtedness aggravated or caused by gambling, alcohol, drug abuse, or other factors indicating poor judgement or financial irresponsibility. 4. A history or pattern of living beyond the person's financial means or ability to pay, a lifestyle reflecting irresponsible expenditures that exceed income or assets, or a history or pattern of writing checks not covered by sufficient funds or on closed accounts. 5. Indication of deceit or deception in obtaining credit or bank accounts, misappropriation of funds, income tax evasion, embezzlement, fraud, or attempts to evade lawful creditors. 6. lndifference to or disregard of financial obligations or indebtedness or intention not to meet or satisfy lawful financial obligations or when present expenses exceed net income. 7. Unexplained affluence or income derived from illegal gambling, drug trafficking or other criminal or nefarious means. 8. Significant unexplained increase in an individual's net worth. Mitigating Factors: (circumstances which may mitigate disqualifying information): 1. Scheduled program or systematic efforts demonstrated over a period of time (generally one year) to satisfy creditors, to acknowledge debts and arrange for reduced payments, entry into debt-consolidation program or seeking the advice and assistance of financial counselors or court supervised payment program. 2. Change to a more responsible lifestyle, reduction of credit card accounts, and favorable change in financial habits over a period of time (generally one year). 3. Stable employment record and favorable financial references. 4. Unforeseen circumstances beyond the individual's control (e.g. a major or catastrophic illness or surgery, accidental loss of property or assets not covered by insurance, decrease or cutoff of income, indebtedness resulting from court judgments not due to the individual's financial mismanagement), provided the individual demonstrates efforts to respond to the indebtedness in a reasonable and responsible fashion. 5. Indebtedness due to failure of legitimate business efforts or business-related bankruptcy without evidence of fault or financial irresponsibility on the part of the individual, irresponsible mismanagement of an individual's funds by another who had fiduciary control or access to them without the individual's knowledge, or loss of assets as a victim of fraud or deceit, provided the individual demonstrates efforts to respond to the indebtedness in a reasonable and responsible fashion. 6. Any significant increase in net worth was due to legitimate business interests, inheritance or similar legal explanation. Alcohol Abuse (See paragraph §154.7(m)). Basis: Habitual or episodic use of intoxicants to excess. Disqualifying Factors: (behavior falls within one or more of the following categories): 1. Habitual or episodic consumption of alcohol to the point of impairment or intoxication. 2. Alcohol-related incidents such as traffic violations, fighting, child or spouse abuse, non-traffic violation or other criminal incidents related to alcohol use. 3. Deterioration of the individual's health or physical or mental condition due to alcohol use or abuse. 4. Drinking on the job, reporting for work in an intoxicated or “hungover” condition, tardiness or absences caused by or related to alcohol abuse, and impairment or intoxication occurring during, and immediately following, luncheon breaks. 5. Refusal or failure to accept counseling or professional help for alcohol abuse or alcoholism. 6. Refusal or failure to follow medical advice relating to alcohol abuse treatment or to abstain from alcohol use despite medical or professional advice. 7. Refusal or failure to significantly decrease consumption of alcohol or to change life-style and habits which contributed to past alcohol related difficulties. 8. Indications of financial or other irresponsibility or unreliability caused by alcohol abuse, or discussing sensitive or classified information while drinking. 9. Failure to cooperate in or successfully complete a prescribed regimen of an alcohol abuse rehabilitation program. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. Successfully completed an alcohol awareness program following two or less alcohol-related incidents and has significantly reduced alcohol consumption, and made positive changes in life-style and improvement in job reliability. 2. Successfully completed an alcohol rehabilitation program after three or more alcohol-related incidents, has significantly reduced or eliminated alcohol consumption in accordance with medical or professional advice, regularly attended Alcoholics Anonymous or similar support organization for approximately one year after rehabilitation, and abstained from the use of alcohol for that period of time. 3. Whenever one of the situations listed below occurs, the individual must have successfully completed an alcohol rehabilitation or detoxification program and totally abstained from alcohol for a period of approximately two years: a. The individual has had one previously failed rehabilitation program and subsequent alcohol abuse or alcohol related incidents. b. The individual has been diagnosed by competent medical or health authority as an alcoholic, alcoholic dependent or chronic abuser of alcohol. 4. Whenever the individual has had repeated unsuccessful rehabilitation efforts and has continued drinking or has been involved in additional alcohol related incidents then the individual must have successfully completed an alcohol rehabilitation or detoxification program, totally abstained from alcohol for a period of at least three years and maintained regular and frequent participation in meetings of Alcoholics Anonymous or similar organizations. 5. If an individual's alcohol abuse was surfaced solely as a result of self referral to an alcohol abuse program and there have been no precipitating factors such as alcohol related arrests or incidents action will not normally be taken to suspend or revoke security clearance solely on the self referral for treatment. Drug Abuse (See §154.7(n)). Basis: Illegal or improper use, possession, transfer, sale or addiction to any controlled or psychoactive substance, narcotic, cannabis, or other dangerous drug. Disqualifying Factors (behavior falls within one or more of the following categories): 1. Abuse of cannabis only, not in combination with any other substance. a. Experimental abuse, defined as an average of once every two months or less, but no more than six times. b. Occasional abuse, defined as an average of not more than once a month. c. Frequent abuse, defined as an average of not more than once a week. d. Regular abuse, defined as an average of more than once a week. e. Compulsive use, habitual use, physical or psychological dependency, or use once a day or more on the average. 2. Abuse of any narcotic, psychoactive substance or dangerous drug (to include prescription drugs), either alone, or in combination with another or cannabis, as follows: a. Experimental abuse, defined as an average of once every two months or less, but no more than six times. b. Occasional abuse, defined as an average of not more than once a month. c. Frequent abuse, defined as an average of not more than once a week. d. Regular abuse, defined as an average of more than once a week. e. Compulsive use, habitual use, physical or psychological dependency, or use on an average of once a day or more on the average. 3. Involvement to any degree in the unauthorized trafficking, cultivation, processing, manufacture, sale, or distribution of any narcotic, dangerous drug, or cannabis or assistance to those involved in such acts whether or not the individual was arrested for such activity. 4. Involvement with narcotics, dangerous drugs or cannabis under the following conditions whether or not the individual engages in personal use: a. Possession. b. Possession of a substantial amount, more than could reasonably be expected for personal use. c. Possession of drug paraphernalia for cultivating, manufacturing or distributing (e.g., possession of gram scales, smoking devices, needles for injecting intravenously, empty capsules or other drug production chemical paraphernalia. d. Possession of personal drug paraphernalia such as needles for injecting, smoking devices and equipment, etc. 5. Information that the individual intends to continue to use (regardless of frequency) any narcotic, dangerous drug or cannabis. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. Abuse of cannabis only, as follows: (Use this to assess Disqualifying Factor 1) a. Experimental abuse, which occurred more than six months ago and the individual has demonstrated an intent not to use cannabis or any other narcotic, psychoactive substance or dangerous drug in the future. b. Occasional abuse of cannabis, which occurred more than 12 months ago, and the individual has demonstrated an intent not to use cannabis or any other narcotic, dangerous drug or psychoactive substance in the future. c. Frequent abuse of cannabis occurred more than 18 months ago, and the individual has demonstrated an intent not to use cannabis or any other narcotic, dangerous drug or psychoactive substance in the future. d. Regular abuse of cannabis occurred more than two years ago, and the individual has demonstrated an intent not to use cannabis or any other narcotic, dangerous drug or psychoactive substance in the future. e. Compulsive, habitual use or physical or psychological dependency on cannabis occurred more than three years ago, the individual has demonstrated an intent not to use cannabis or any other narcotic, dangerous drug or psychoactive substance in the future and has demonstrated a stable life-style, with no indication of physical or psychological dependence. 2. For abuse other than cannabis alone. Use is considered cumulative and each separate substance must not be considered separately. (Use this to assess Disqualifying Factor 2). a. Experimental abuse occurred more than 12 months ago, the individual has demonstrated an intent not to use any drugs or cannabis in the future and has successfully completed a drug rehabilitation program. b. Occasional abuse occurred more than two years ago, the individual has demonstrated an intent not to use any drugs or cannabis in the future, has a stable lifestyle and satisfactory employment record and has successfully completed a drug rehabilitation program. c. Frequent abuse occurred more than three years ago, the individual has demonstrated an intent not to use any drugs or cannabis in the future, has a stable lifestyle, including satisfactory employment record with no further indication of drug abuse, and has successfully completed a drug rehabilitation program. d. Regular abuse occurred more than four years ago, the individual has demonstrated an intent not to use any drugs or cannabis in the future, has a stable lifestyle, including satisfactory employment record with no further indication of drug abuse, and has successfully completed a drug rehabilitation program. e. Compulsive abuse occurred more than five years ago, the individual has demonstrated an intent not to use any drugs or cannabis in the future, has a stable lifestyle, including satisfactory employment record with no further indication of drug abuse, and has successfully completed a drug rehabilitation program. 3. Use this only to assess conduct under Disqualifying Factor 3. a. Involvement in trafficking, cultivation, processing, manufacture, sale or distribution occurred more than five years ago, the individual has demonstrated an intent not to do so in the future, and has a stable lifestyle and satisfactory employment record and has not been involved in any other criminal activity. b. Cultivation was for personnel use only, in a limited amount for a limited period and the individual has not been involved in similar activity or other criminal activity for more than three years and has demonstrated intent not to do so again in the future. c. Illegal sale or distribution involved only the casual supply to friends of small amounts (not for profit or to finance a personal supply) and occurred on only a few occasions more than two years ago, and the individual has demonstrated an intent not to do so again in the future. 4. Use this only to assess conduct under Disqualifying Factor 4 in the corresponding subparagraphs. a. No possession of drugs or other criminal activity in the last two years. b. The individual has not possessed drugs in the last three years, has had no other criminal activity in the last three years and has demonstrated an intent not to be involved in such activity in the future. c. The individual has not possessed drug paraphernalia used in processing, manufacture or distribution for the last five years, has had no other criminal activity in the last five years and has demonstrated an intent not to be involved in such activity in the future. d. The individual has not possessed drug paraphernalia for personal use in the last year, has had no other criminal activity in the last two years and has demonstrated an intent not to be involved in such activity in the future. 1. Narcotic. Opium and opium derivatives or synthetic substitutes. 2. Dangerous Drug. Any of the nonnarcotic drugs which are habit forming or have a potential for abuse because of their stimulant, depressant or hallucinogenic effect. 3. Cannabis. The intoxicating products of the hemp plant, Cannabis Sativa, including but not limited to marijuana, hashish, and hashish oil. Falsification (See §154.7(o)). Basis: Any knowing and willful falsification, cover-up, concealment, misrepresentation, or omission of a material fact from any written or oral statement, document, form or other representation or device used by the Department of Defense or any other Federal agency. Disqualifying Factors (behavior falls within one or more of the following categories): 1. Deliberate omission, concealment, falsification or misrepresentation of relevant and material facts including, but not limited to information concerning arrests, drug abuse or treatment, alcohol abuse or treatment, treatment for mental or emotional disorders, bankruptcy, military service information, organizational affiliations, financial problems, employment, foreign travel, or foreign connections from any Personnel Security Questionnaire, Personal History Statement or similar form used by any Federal agency to conduct investigations, determine employment qualifications, award benefits or status, determine security clearance or access eligibility, or award fiduciary responsibilities. 2. Deliberately providing false or misleading information concerning any of the relevant and material matters listed above to an investigator, employer, supervisor, security official or other official representative in connection with application for security clearance or access to classified information or assignment to sensitive duties. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. The information was not relevant or material to reaching a security clearance or access determination. 2. The falsification was an isolated incident in the distant past (more than 5 years) and the individual subsequently had accurately provided correct information voluntarily during reapplication for clearance or access and there is no evidence of any other falsification misrepresentation or dishonest conduct by the individual. 3. The behavior was not willful. 4. The falsification was done unknowingly or without the individual's knowledge. 5. The individual made prompt, good faith efforts to correct the falsification before being confronted with the facts of falsification. 6. Omission of material fact was caused by or significantly contributed to by improper or inadequate advice of authorized personnel, provided the individual reasonably relied on such improper or inadequate advice in good faith, and when the requirement subsequently was made known to the individual, the previously omitted information was promptly and fully provided. Refusal to Answer (See §154.7(p)). Basis: Failing or refusing to answer or to authorize others to answer questions or provide information required by a Congressional committee, court or agency in the course of an official inquiry whenever such answers or information concern relevant and material matters pertinent to an evaluation of the individual's trustworthiness, reliability and judgment. Disqualifying Factors (behavior falls within one or more of the following categories): 1. Failure or refusal to provide full, frank and truthful answers or to authorize others to do so, in connection with any application for security clearance or access, to include required non-disclosure and security termination agreements. 2. Failure or refusal to provide appropriate investigative forms, including release forms, for use by investigators in obtaining information from medical institutions, agencies or personal physicians, therapists, psychologists, psychiatrists, counselors, rehabilitation treatment, agencies or personnel; from police or criminal agencies, probation agencies or officers, financial institutions, employers, Federal or State agencies, professional associations or any other organizations as required as part of an investigation for security clearance, access, appointment or assignment to sensitive duties. 3. Failure or refusal to authorize others to provide relevant and material information necessary to reach a security clearance determination. 4. Failure or refusal to answer questions or provide information required by a Congressional committee, court or agency when such answers or information concern relevant and material matters pertinent to evaluating the individual's trustworthiness, reliability and judgment. Mitigating Factors (circumstances which may mitigate disqualifying information): 1. The individual was unable to provide the information despite good faith and reasonable efforts to do so. 2. The individual was unaware of the necessity to provide the information requested or of the possible consequences of such refusal or failure to provide the information, and, upon being made aware of this requirement, fully frankly and truthfully provided the requested information. 3. The individual sought and relied in good faith on information and advice from legal counsel or other officials that the individual was not required to provide the information requested, and, upon being made aware of the requirement, fully, frankly and truthfully provided the requested information. Sexual Misconduct (See §154.7(q)). Basis: Acts of sexual misconduct or perversion indicative of moral turpitude, poor judgment, or lack of regard for the laws of society. Disqualifying Factors (behavior falls within one or more of the following categories): 1. The conduct involves: a. Acts performed or committed in open or public places. b. Acts performed with a minor, or with animals. c. Acts involving inducement, coercion, force, violence or intimidation of another person. d. Prostitution, pandering or the commission of sexual acts for money or other remuneration or reward. e. Sexual harassment. f. Self mutilation, self punishment or degradation. g. Conduct that involves spouse swapping, or group sex orgies. h. Adultery that is recent, frequent and likely to continue and has an adverse effect on good order or discipline within the workplace (e.g., officer/enlisted, supervisor/subordinate, instructor/student). i. Conduct determined to be criminal in the locale in which it occurred. j. Deviant or perverted sexual behavior which may indicate a mental or personality disorder (e.g., transexualism, transvestism, exhibitionism, incest, child molestation, voyeurism, bestiality, or sodomy.) 2. The conduct has been recent. 3. The conduct increases the individual's vulnerability to blackmail, coercion or pressure. 4. Evidence that the applicant has intention or is likely to repeat the conduct in question. Mitigating Factors (circumstances which may mitigate qualifying information): 1. Sexual misconduct occurred on an isolated basis during or preceding adolescence with no evidence of subsequent conduct of a similar nature, and clear indication that the individual has no intention of participating in such conduct in the future. 2. Sexual misconduct was isolated, occurred more than 3 years ago, and there is clear indication that the individual has no intention of participating in such conduct in the future. 3. The individual was a minor or was the victim of force, or violence by another. 4. The individual has successfully completed professional therapy, has been rehabilitated and diagnosed by competent medical authority that misconduct is not likely to recur. 5. Demonstration that the individual's sexual misconduct can no longer form the basis for vulnerability to blackmail, coercion or pressure. [52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61026, Nov. 19, 1993]
Title 32: National Defense
PART 154—DEPARTMENT OF DEFENSE PERSONNEL SECURITY PROGRAM REGULATION
Subpart K—Program Management
Appendix H to Part 154—Adjudication Policy
