PROPOSED EXECUTIVE ORDER NO. _____ SUITABILITY REQUIREMENTS FOR GOVERNMENT EMPLOYMENT

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP87B01034R000100030030-9
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 43
• Document Creation Date: December 12, 2016
• Document Release Date: June 11, 2002
• Sequence Number: 30
• Publication Date: May 4, 1976
• Content Type: REGULATION

UR ' G May 1976
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PROPOSEI) EXECUTIVE ORDER ISO.--
SUITABILITY REQUIREMENTS
FOR GOVERNMENT EAIP1.OYMLNT
WHEREAS the national interests require that all persons privileged
to be employed in the Federal Government shall he reliable., of good con-
duct: and character, and of undivided allegiance and unswerving oyaty
the United States; and
WHEREAS the national security and welfare require that only persons
who have demonstrated integrity, trustworthiness and discretion of the
highest order shall be employed in positions of special trust and that
the selection of such employees shall. be made on the basis of a comprehensive
review of their suitability and qualifications to hold such positions;
WHEREAS the American tradition that all persons should receive
fair, impartial, and equitable treatment at the hands of the Government
requires that all persons seeking the privilege of employment or privileged
to be employed in the Federal Government be adjudged by standards and
procedures that are consistent, uniform and comport with the individual's
right of privacy:
Now, THEREFOR I, by virtue of the authority vested in me by the
Constitution and statutes of the United States including section 1753 of the
Revised Statutes of the United States (5 U.S.C. 1970 ed. 3301 and 3701);
the Civil Service Act of 1883 (5 U.S.C. 1.970 ed. 1101 et seq.); section 9A
of the Act of August 2, 1939 (5 U.S.C. 1970 ed. 333 and 7311); the Act
ILLEGIB
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of August 26, 1950 (5 U.S.C. 1970 ed. 7501 ct seq.) and the National
Security Act of 1947 (50 U.S.C. 400 et seq.); and as President of the
United States, and deeming such action necessary in the best interests
of the national security and welfare and in order to protect the rights
of citizens seeking employment or employed by the United States, it is
hereby ordered as follows:
Section
Description Pam e
1
REVOCATION OF EXECUTIVE ORDER 10450
1.
2
DEFINITIONS
1.
3
GENERAL
5
(a) Purpose of the Order
5
(b) Establishment of the Federal Civilian
6
Personnel Suitability Investigation and
Adjudication Program
4
APPLICABILITY
6
5
SUITABILITY STANDARDS
7
6
POSITIONS OF SPECIAL TRUST
7
(a) General. 7
(b) Criteria for Designating Positions of 8
Special Trust
(c) Designation of Positions of Special 10
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Section Dc'~cri.hLi oil as;e
7 SUITABILITY INVESTIGATIONS
(a)
General
10
(b)
Limits On Investigative Matters
11
(c)
Investigations Concerning General
Standard Positions
11
(d)
Investigations Concerning Positions
of Special Trust
12
(e)
Investigative Expansion or Referral
15
(f)
Investigative Procedures
15
(g).- Investigative Responsibility
1.9
(h)
(i)
(j)
Investigative Support to Non-Executive
Branch Agencies
Use of Prior Investigations
Re-investigations
19
8
ADJUDICATION
(a) Objectives
20
(b) Reasons for Disqualification
21
(c) Considerations in Weighing E~i.dence
23
(d) Timely Adjudication
26
(e) Notice to the Individual
26
9
DUE PROCESS AND ADVERSE DETERMINATION PROCEDURES
26
(a) Due Process Policy
26
(b) Applicants for Examination or Appointment
26
(c) incumbents
27
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 Section I)^ cription Pace
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10 PROCEDURES CONCERNING POSITIONS WHICH INVOLVE 27
NATIONAL SECUR1TY INTERESTS
(a) Suspension From Employment or Access 27
to Classified Information
(b) Removal from Employment or Revocation 28
of Security Clearance
(c) Reassignment to a Position Which Does 30
Not Involve National Security Interests
(d) Reserved Authority
11 REINSTATEMENT, RESTORATION TO DUTY AND 31
RE-EMPLOYMENT
REVIEW OF ADVERSE OR QUESTIONABLE INFORMATION 32
ARISING SUBSEQUENT TO FAVORABLE SUITABILITY
DETERMINATION
PROGRAM MANAGEMENT
(a)
(h)
General Policy Oversight
Responsibilities of the Departments and
33
(c)
Agencies
Standardized Qualifications rand
33
(d)
Training of Program Personnel
Index of Investigations
(e)
Control, Release and Use of Investigative 34
(f)
(g)
(h)
(i)
Reports
Standard Forms
Clearing House for Program Management
Information
Program Review
Annual Certification
37
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April 27, 1953, as amended, is hereby revoked.
Section 2. Definitions. For the purpose of this Order, unless otherwise
indicated, the following terms shall have these meanings:
Adjudication: The procedure by which a qualified officer weighs the known
facts of an individual's conduct and character and considers all relevant
circumstances of that conduct, prior experience in similar cases, and the
general nature of the position sought or held, in order to evaluate the pro-
bability the individual will perform the duties of the position responsibly
and efficiently and to balance that degree of probability against the
acceptability of failure.
Adverse Determination: A decision at any level of the adjudication procedure
or in subsequent hearings which resolves a doubt against the individual
with the result that he or she is denied the right to take an examination
for employment, is denied appointment, is suspended from employment either
with or without pay, is separated from employment, is disqualified for a
Position of Special Trust, or is denied access to classified information.
Agency Head: The principal officer or administrator of a department,
agency or other major organization or component of the Executive Branch
established by statute or Executive Order. I
Allegiance: The devotion or emotional commitment of an individual to a
political entity, as customarily found in a citizen or person intending to
become a citizen of such entity.
Civilian-Employee: All appointive positions in the Executive Branch of the
Government of the United States, except positions in the uniformed services
(armed forces, commissioned corps of the Public Health Service and
commissioned corps of the Environmental Protection Services Administration).
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or other reasonable suspicion that an employee has committed some violation
of law or regulation or otherwise by his, or her conduct has raised a question
as to whether he or she continues to meet the standards of employment for
the particular position held. Such an inquiry may be conducted under the
authority of any applicable law or regulation or of this Order or both.
While a complaint investigation is not a routine inquiry, the investigative
procedures prescribed by this Order will be observed to the extent compatible
with the integrity of the investigation, whenever its objectives include
determining the individual's suitability for continued employment.
Emergency Waiver: An emergency waiver is a suspension of the investigative
requirements of this Order that allows the head of a department or
agency to fill a Position of Special Trust in his department or agency
for up to 90 days without completion of the prescribed investigative
report.
Federal Service: Federal service means employment by any Executive
Branch agency including any Executive department, agency or independent
establishment of the United States or any corporation wholly owned by
the United States. It includes the terms Federal employment, government
employment and any and all other terms used to describe employment status
within the Executive Branch of the Federal government.
Foreign Affairs: The policies, duties and functions pertaining or giving
effect to the relations between the United States and Foreign governments,
groups or individuals, and international organizations.
Full Field Investigation: An investigation of an individual's background,
conducted in person by qualified investigators, and including interviews
with knowledgeable persons and checks of appropriate records including
those of appropriate national agencies to cover a sufficient period of
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the: person's life in order to assure ac?quisit:ion of information necessary
and relevant to a determination of the individual's suitability for the
position sought or held.
General Standard positions: All positions in the Executive Branch of
the Government which have not been designated positions of Special Trust.
Investigation: An inquiry conducted by an authorized investigative organiza-
tion for the purpose of determining an individual's suitability for employment
in the Federal service as provided for in this Order.
Investigative File: The official. repository of all relevant investigative
material, reports or similar information arising out of a suitability investi-
gation conducted under the authority of this Order.
Inves_ative Record: Any item, collection, or grouping of information
authorized for inclusion in a file, indices, list
register or computer system
which relates to a suitability investigation conducted under the authority of
this Order which contains the name, or the identifying number, symbol or
other identifying particular assigned to the individual upon whom the investis;a-
ti.on was conducted and which describes the nature of the investigation, the date
of the investigation and the investigatory agency.
Loyalty: An i.ndividual's faithful and true allegiance to the U. S. and its
constitutional form of government.
National Agency Check: A record check of the Federal Bureau of Investiga-
tion's fingerprint and investigative files, the CSC security-investigations
index and where appropriate, Defense Central Investigative, Central
Intelligence and State Dept. indices and other agencies, as appropriate.
National Interest: All of the lawful interests of the Federal government
viewed collectively. The interests of national security and national welfare
are specific categories of the national interest.
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Personnel File: The record required to be maintained by law or ref'.u]ation
reflecting all significant information concerning any matter relating; to
the employment of an individual in the- Executive Branch of the government.
The Official. Personnel Folder is the official repository of records and reports
of personnel actions effected during; an employee's Federal service and the
documents and papers required in connection with these actions.
Position of Special Trust: Certain positions within the Federal. service which
entail duties of such a sensitive nature that the misconduct or malfeasance
of an incumbent in any such position could reasonably be expected to result
in an unacceptably adverse impact upon the national interest.
Security Determination: A determination, as required by Executive Order
11.652, made by a lawfully designated authority of the Federal government,
on the basis of prescribed investigation and other relevant available
information, as to an individual's trustworthiness for access to classified
information or material.
Sensitive Compartmented Information: All information and materials bearing
special controls of the Intelligence Couununity (as defined in Executive 0:-der
11905) indicating restricted handling within present and future intelligence
collection programs and their end products for which comriunity systems of
compartmentation have been or will be formally established. The term does
not include Restricted Data as defined in Section II, Public Law 585,
Atomic Energy Act of 1954, as amended.
Significant Adverse Information__ Such information, directly relating to the
factors to be considered in making a suitability determination set forth
in subsection 8(b) of this Order, which could reasonably be expected of
itself to adversely influence a suitability determination or prompt the
seeking of additional investigation or clarification.
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Suitability: As used in this order, :uit:;ibility means the individual's fitne;n,
in terms of character and integrity/as distinguished from professional shills
or qualifications, for the position sought or held, taking into consideration
all relevant aspects of the position including its level of responsibility and
sensitivity from the point of view of the national interests.
Suitability Determination: A determination made by the Civil Service Com-
mission or the head of a department or agency of the Executive Branch or his
designee, on the basis of investigation prescribed by this Order and other
relevant available information, as to an individual's suitability for employment
in the Federal service with respect to the appropriate suitability standard
ti
set forth in Section 5 of this Order. If the position requires frequent
access to Top Secret classified information or involves other access or
special duties detailed in subsections 6(b)(ii) thru (vi) of this Order,
the suitability determination obviates the requirement for a separate
security determination with respect to the clearance for access to such
classified information or the eligibility for assignment to such duties.
Suitability Factors: Such factors relevant to a determination as to an
individual's suitability for employment in the Federal service, under the
standards required by Section 5(a) and (b) which arc' detailed in Subsections
8(b)(1) and (2) of this Order.
Suitability Standard: The minimum level of personnel fitness and competence,
prescribed by this Order, which each civilian officer or tmployee must meet,
according to the nature of the position concerned, to be determined suitable
for employment in the Federal service.
Section 3. General.
(a) Purpose of the Order - The purpose of this Order is to establish
uniform standards for determining the suitability of individuals for employ-
ment: in the Federal Government to delineate authority and responsibilities
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collection of personal info nnat:ion required in determining suitability
for Government employment to that which is relevant and necessary to such
determination and which is consistent with the individual's basic right
of privacy, and to establish effective oversight to assure that implementation
of the policies set forth herein by the departments and agencies is
consistent with the interests of the nation and the constitutional and
civil rights of the individuals concerned.
(b) Establishment of the Federal Civilian Personnel Suitabiliy
Investation and Adjudication Program - There shall be established a
nifornilFederal Civilian Personnel Suitability Investigation and Adjudica-
tion Program operating under the overall personnel policies and procedures
developed by the Civil Service Commission. Such programs in the Central
Intelligence Age,y, National Security Agency, and the Federal Bureau of
Investigation, based on procedures or requirements established by statute
or other Executive Order, shall be excluded from those Civil Service
Commission regulations and procedures and those provisions of this Order
which conflict with such statutes or Executive Orders.
Section 4. Applicability.
Pursuant to the authority of the Act of August 26, 1950, the provisions
of that Act are hereby extended to all other departments and agencies of
the Executive Branch to the extent that the heads of such departments
and agencies shall designate Positions of Special Trust in accord with
the criteria of Section 6(b)(1) of this Order. By virtue of the authority
of the Constitution and the other statutes cited in the preamble to this
Order, standards and criteria for other Positions of Special Trust and
for Federal employment generally are hereby established. The procedures
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of this Order shall apply, as appropriate, to all civilian positions in
the Executive Branch, whether of the competitive or exceptcd'services.
The standards and criteria specified in this Order shall be used in
making the determination of trustworthiness required of certain civilian
personnel pursuant to Section 6A of Executive Order 11652.
Section 5. Suitability Standards.
The appointment or retention of each civilian officer or employee
in any department or agency is contingent upon his meeting one or both
of the following suitability standards according to the nature of the
position for which he is being considered or in which he is serving:
(a) The overall standard for. Government employment is whether an
individual's appointment or retention in any position will promote the
efficiency of the service.
(b) The standard for appointment_or_retenti.on in Positions of
rr ~.
Special Trust is whether the in t_7iidual's demonstrated integrity, trust-
--- ---_.. __----h---.-~f .-~-- ----_------
worthiness and discretion is s`ich hat his appointment or retention in
such a position would be clearly consistent with the national interest.
Section 6. Positions of Special Trust.
(a) General - Certain positions within the Fedefal service entail
an incumbent in any such position could result in an unacceptably adverse
duties of such a sensitive nature that the misconduct or malfeasance of
impact upon the national interest. These positions, which shall be
filled by U.S. citizens only, are designated Positions of Special Trust.
It is vital to the national interest that great care be exercised in the
selection of individuals to fill such positions. There are two categories
of Positions of Special Trust:
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(.l) National Security: Those activities involvi.nf; access to
classified information or which are directly related to military security,
foreign affairs or intelligence including the _protection of the goy_ xmnent.
against espionage, sabotage, subversion, assasination and terrorism and
any other illegal acts that adversely affect the national defense, such
as those activities which are directly concerned with the protection of
the Nation from internal subversion or foreign aggression.
(2) National Welfare: Those activities which are directly
related to domestic order and the economic and productive strength of
the Nation, including critical policy making and law enforcement positions,
access to sensitive information critical to the Nation's economic or
domestic enterest, and access to property or installations that affect
public health, safety or economic well being.
(b) Criteria For Designating Positions of_SRecial Trust - Only those
civilian, positions in the Federal service which meet any of the following
criteria shall be designated as a position of Special Trust:
(1) National Security Positions which:
(i) Require fre-quent access to Top Secret information,
(ii) Require access to Sensitive Compartmented Information;
(iii) Require access to information revealing intelligence
sources, methods and analytical J)rocedures;
(iv) Require access to any classified information which
is controlled by special access procedures established
by the head of a department or agency;
(v) Involve personnel investigative duties;
(vi) Offer the opportunity, through misconduct or
negligence, to interfere with or impair vital.
. functions of an agency critical to national security
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interests; and which
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(vii) Allow the incurbeyt to make or influence suitability
determinations concerning persons having the access
or performing any of the duties listed in (1)
through (vi) above.
Positions requiring access to information classified no higher than
Secret or Confidential, other than those referred to in subsection (b)(1)(ii)
through (vii) above, shall not be designated as Positions of Special Trust
positions in that the standard and criteria for employment in such positions
are as prescribed in subsections 5(a) and 8(b)(1).
(2) National Welfare Positions which:
(i) Require access to material or information, the dis-
semination of which is highly restricted because of its
importance to the economic well-being of the Nation;
(ii) Entail responsibility for formulation or implementation
of rya plans and policies including enforcement of
laws such that malfeasance or nonfeasance whether
willful or inadvertant results in significant damage
to the national interest that cannot be effectively
prevented or corrected;
(iii) Entail final authority for the recommending or approving
the collection, grant, exchange, loan, payment or
other use of property or funds of high individual or
aggregate value, such that it impacts on national
economic policy;
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(iv) Ent nil responsibility for making selections, appoint--
merits or adverse determinations concerning persons
having the access or performing any of the duties
listed in (i) through (iii) above.
(c) Designation of Positions of Special Trust -
(1) Authority to Designate: The designation of Positions of
Special Trust shall be made only by the heads of departments, agencies
or major organizational components established by statute or Executive
Order in accordance with the above criteria.
(2) Certification and Redesignation: The heads of organ-
izations referred to in (1) of this subsection with respect to Positions
of Special Trust:
(i) shall certify in the records of the organization
concerned the validity of the position designation
at the time of designating each separate position;
(ii) shall maintain or cause to be maintained a central record
of such positions and annually certify the validity
of designation of such positions to the Civil Service
Commission and
(iii) shall. approve any change in designation.
Section 7. Suitability _Investigations.
(a) General - The appointment of each civilian officer or employee
in any department or agency shall be made subject to an investigation
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 ILLFGIB
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condo cc or the purpose of doveJopping inf.ormati re]e :ant: to det.el-111 iIII nf;
whether such appointment is in conformance with the applicable standard
signed in so far as is possible to collect only as much information q,
(b} Limits CTn Investigative Afatters - Investigations shall be
'ccified in section 5 of this Order.
relevant and_._n.ecessary for a proper suitability determination, to
elop information that is timely and that avoids unnecessary inquiry
to sensitive or private areas of personal behavior, and to report for
in final suitability determinations only information that is accurate
and as fully corroborated as possible. Inquires which have no relevance
to a suitability determination should not be made. _Questions regarding
personal an Q domestic affairs.; national origin,(financial matters and
the status of physical health, fall in this category
is re]_evant._a~ the--dsquali?-ica.t_ion criteria of section 8 of this order.
The probing of a person's thoughts or beliefs and questions about his
conduct, whichThave no suitability iinplications, re unwarranted.
ILLEGIB
Further, religious beliefs and affiliations or
regarding racial matters, political beliefs and nonsubversive
nature, opinions regarding the constitutionality of legislative policies,
and affiliation with labor unions or fraternal organizations are not
proper subjects for such inquiries.
(c) Investigations Concernin General Standard Positions
- Investigations conducted for the purpose of determining the
suitability of an individual for Federal service in a General. Standard
Position shall. be based exclusively on the suitability standard set
forth in section 5(a), shall be limited to matters relevant to reaching
a determination under that standard, and shall ascertain that no adverse
information exists which would preclude a favorable determination under
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that standard; further, such investigation shall consist of a national
agency check, including a check of fingerprint files of the Federal
Bureau of Investigation and, where appropriate, written inquiries to
local law enforcement agencies, former employers and supervisors and
references. However, upon the request of the head of the department or
agency concerned, the Civil Service Commission may, in its discretion,
authorize such less investigation as may meet the requirements of the
national security or welfare with respect to per diem, intermittent,
temporary or seasonal employees, or aliens employed outside the United
States.
(d) Investations Concerning_ Positions of Special Trust -
(1) Investigations conducted for the purpose of determining the
suitability of an individual for Federal service in a Position of Special Trust,
herein after referred to as a Full Field Investigation, shall be based
exclusively on the suitability standards set forth in sections 5(a) and
(b) of this Order, shall be limited to matters relevant to reaching a
determination under those standards, shall develop information positively
affirming that the individual's conduct and character are such as meet
the standards set forth in sections 5(a) and (b), and shall be completed
prior to appointment; provided that when appointment is made prior to
completion of the investigation the procedures prescribed in (2) of this
subsection are followed.
The scope of investigations for Positions of Special Trust throughout
the Executive Branch shall be uniform and shall, as a minimum, include the
following unless approval for special scoping has been requested by the
head of a department or agency and approved by the Civil Service Com-
mission:
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13
(i) Verification of date and place of birth and citizenship.
(ii) Check of the subversive and criminal fil-es of the
Federal Bureau of Investigation, including submission of fingerprint charts,
and such other national agencies as are appropriate to the individua'l's
background. An additional check shall be conducted on those members of the
individual's immediate family who are United States citizens other than
by birth or.who are resident aliens.
(iii) Check of appropriate police records covering the most
recent 10 years or since age eighteen, whichever is the shorter period.
(iv) Ascertain the individual's financial status and credit
habits over the most recent(5__years.)
(v) Residential checks over the mo t recent 5 yearp
(vi) Confirmation of all employment during_most recent
10 years nd personal interviews with supervisors and co-workers for that
period.
(vii) Verification of attendance all-'i-gstitutes of higher
learning and at the last secondary school within the (p-a s,---,
(vii) Interviews with knowledgeable acquaintances concerning
th individ-ual's activities and behavioral patterns covering the most
(ix) Check of the individual's spouse through the subversive
files of the Federal Bureau of Investigation and other national agencies, as
appropriate.
(x) A personal interview of the individual,
An investigation, completed with favorable results, conducted in
conformance with the foregoing scope, shall be accepted as_uee-tin g the
lfl i n T ust even though
invest iga ive r r e t fo
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a more extensive investigative scope has been authorized for such position
by the Civil Service Commission,(if !the individual concerned subsequent to
the completion of the investigation hasbeencontipuously employed in any
Position of Special Trust fo(5 years or more - subject to the provisions
of subsection (j) below.
(2) In case of an emergency, a Position of Special Trust may
be filled for a limited period by a person with respect to whom the
required personal investigation has not been completed if the head of
the department or agency personally determines that the waiver of such
completion is necessary in the interest of national security or welfare
based on the following criteria:
(i) the position cannot remain unfilled without unac-
ceptably adverse impact upon mission of
organization.
(ii) the applicant/nominee has such unique talent that
no other person can fill the position.
(iii) the priority of the program (assigned personally by
head'of agency or department) is so high that
awaiting completion of investi,pation will result in
program failure. Such determination shall be made
a part of the records of such department or agency.
If such position is filled on this basis, the investigation must be
requested not later than 3 days from entrance of the employee concerned
on active duty and must be completed within 90 days from the date of
waiver.
(3) Notwithstanding the limitations specified in subsection
(1) above, investigations of applicants for Positions of Special Trust
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may also include verification of special qualifications for the position
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(1) Expansion: Should there develop at any stage of in-
vestigation information indicating that the employment of any such
person may not be consistent with the applicable standard set forth in
section 5 the investigation shall be expanded to the extent necessary
to enable the Civil Service Commission or head of the department or
agency concerned to determine whether the individual is suitable for
employment or retention in employment. Further, when significant adverse
or questionable information is developed (luring the'course of an in-
vestigation, the subject of the investigation, insofar as national
security permits, shall be afforded an opportunity to affirm, refute or
otherwise explain such information, prior to closiU__the investigation.
(2) Referral: There shall be referred promptly to the Federal
Bureau of Investigation ~~ investigations which develop information
that an individual's conduct or activities are such as may fall within
the invertic;ative jurisdiction of the FBI.
f) Investative Procedures
(1) Sources of_Investigative -Information: Persons conducting
investigations authorized under this section shall collect information
to the greatest extent practicable directly from the subject individual,
but are authorized to seek additional information from any other appro-
priate source, including but not limited to:
(i) the parent(s) or guardian(s) of the person being
investigated;
(ii) school records;
(iii) federal, state, and local official government
records, including conviction and sentencing in
formation, court proceedings and probation records
Approved For ReIbldt6r2bO I08Tf5 UA-RbP8 1CI34R000100030030-9
 Approved For Release 2002/08/15 : CIA-RDP87BO1034R000100030030-9
(iv) employment records;
(v) medical records relevant to a determination under
section 8(b)(2) (iii); and
(vi) personal acquaintances.
The criminal offender information which the department or agency head
concerned or his designee is authorized to obtain under this-sec tion
includes, but is not limited to, all criminal history relating to arrests,
indictments, information, or other formal criminal charges, dispositions,
or a reason why no dispos4ion-:-is_ay ailable, sentencing, and correctional
supervision and relse.
/
(2) N?t J ice to the IndividuAl?1 Prior to initiation of any
investigation, t ( subject of investigation shall be given writt
conducted;
(ii) The scope of the investigation including an
(i) The authority under which.the investigation will
.enumeration of the types of records and files to be
checked and the type of individuals to be contacted;
(iii) The principal purpose or purposes of the investi-
gation;
(iv) The individuals or organizations that will have
access to the information;
(v) The consequences, if any, of the collection of
adverse information; -
(vi) A description of the subject's information rights,
including access rights and rebuttal-and appeal
rights;
Approved For Release 2002/08/15 : CIA-RDP87BO1034R0001000300
ILLEGIB
ILLEGIB
 Approved For Release 2002/08/15 : CIA-RDP87B0l034R000100030030-9
(vii) A description of the protection that the infor
mation will receive;
(viii) The effects on the subject, if any, of not
providing all or any part of the requested information.
(3) Information to be Released by the Individual - The i `.dividual
shall furnish a signed personal history statment, fingerprints of a quality
acceptable to the Federal Bureau of Investigation and a signed release,
as necessary, authorizing custodians of police, credit, education, employment
and medical records, to provide record information to the investigative
agency.
(4) Investigative Limitations With Respect to Privac - 'In
conducting investigations under the provisions of this Order, investigators
shall:
(i) Not investigate any case or person except those,
assigned within their lawful duties;
(ii) Not interview witnesses where the testimony is
likely to be overheard by others; ?
(iii) Always present credentials and inform witnesses of
the reasons for the investigation; the use that will
be made of the witnesses testimony; the eligibility
of the testimony for confidential treatment; the
effects on him, if any, of not providing all or any
part of requested information;
(iv) Not furnish information, other than necessary identity
data, or ask questions in such a manner as to indicate
that the investigator is in possession of derogatory
Approved For Releais 2602r0'8I15~2*AtRtI $,7i?bi032f1k6n?$0?63bbSOI'vestigation;
 Approved For Release 2002/08/15: CIA-RDP87B01034R000100030030-9
I%W
or surreptitious investigative methods, devices or
techniques including mail covers; physical or
photographic surveillance; voice analyzers; in
spection of, trash; pai ;)formants wiretap or
eavesdropping devices;
(v) xet rain i row u-utl, 1- `- - --- - ILLEGIB
(vi) Not investigate any case in which the investigator
knows of circumstances which might adversely affect
his fairness, impartiality or objectivity.'
(vii) Refrain, under any circumstances, from conducting
physical searches of the subject or his property or
making uninvited visits to the subject's home.
(viii) Refrain from _u s ingra polygrbph in any investi-
gation conducted under this Order except that an
executive agency which has a highly sensitive
intelli.gence_ or counterintelligence mission directly
affecting the national security may use the polygraph
for employment and screening personnel investigations
subject to the provisions of Appendix D of Chapter 736
of the Federal Personnel Manua1.:AlI other use of a
ILLEGIB
polygraph to
screen applicants for an appointees to
positions are forbidde regardless of
whether the polygraph examination is administered by
the agency concerned or was obtained by that agency
from another source such as an examination given
previously by another Federal agency or by a non-
Federal agency.
pproved Fur MI ase 2002/08/15 : CIA-RDP87B01034R000100030030-9
 Approved For Release 2002/08/15 : CIA-RDP87BO1034R000100030030-9
(g) Investigative Responsibili - The investigation of persons
.entering or employed in the Federal Service, including experts and
consultants however employed, shall primarily be the responsibility of
the Civil Service Commisision,Cexce~6in cases in which the head
department or gency assumes at responsibility pursuant to law or b
agreement with the Civil Service Commission. A full report of investi-
gation or notification of satisfactory completion thereof shall be
furnished to the department or agency responsible for making the suit-
ability determination.
(h) Investigative Support to Non-Executive Branch Federalencies -
Legislative, judicial and quasi-governmental agencies, including the
Government of the District of Columbia, that require investigations
similar to those prescribed in this order may use the investigative
(i) Use of Prior Investj,ations - In order to avoid unnecessary
O Incumbents. Once a person's suitability for Federal Service
duplication of effort and expense, an agency making a suitability determina-
tion pursuant to this Order shall make the fullest possible use of reports
of prior investigation, to the extent that such prior investigation was
s
based on the standards, suitability factors and in estii.ative coverage
requirements of this Order. If the prior investigation did not comply with
this Order, such additional investigation as may be necessary shall be
has been determined under the provisions of this order, he shall not be
reinvestigated for the same purpose unless information becomes available
ILLEGIB
Approved For Release 2002/08/15 : CIA-RDP87BO1034R000100030030-9
 Approved For Release 2002/08/15 : CIA-RDP87B0104000100030030-9
which- raises reasonable doubt as..too_wtIether_hecontinues _o_me_ t _t ie
applicable standard prescribed by section 5.
However., the head of a
department or agency authorized to establish_Posi-ti-on-s -of -,Special Trust
may with respect to such positions designate those which shall require
re-investigation of the incumben~5 years-, fter em loyment, and once each
succeeding
provided that such reinvestigation, in the absence of
potentially disqualifying suitability information, includes as a minim m.,
(1) requiring the incumbent to submit an updated statement of personal
history to the appropriate office responsible for requesting such investi-
gations, and (2) a review of the statement of personal history together
with the personnel file of the incumbent, leeairy 'ava4 hle previous reports
of investigation concerning him, and any other l ay b1e appro-
priate records. A determination shall then be made as to what further
action is then appropriate, for example, a check of local police and credit
records, a national agency check or an up-dated full field investigation.
(2) Former Employees. A former employee shall be investigated
whenever available information raises a question as to whether the individual
continues to,rneet the standard provided by section 5 or there has been a `
break in his employment by the Federal government greater than 12 months.
Section 8. Adjudication.
(a) Objectives - The objectives of the adjudication procedure
shall be to determine whether, on the basis of available information,
the individual's employment reasonably can be expected to promote the
efficiency of the service and, in the case of a Position of Special
Trust, to be clearly consistent with the national interests. The pro-
cedure does not purport to predict the individual's future behavior but
rather is an effort to assess the probability of future conduct, whether
w i 11 iAppr ve fbl-lRelp;3s 2002/d8i5 q'ClY* RDR flB61d34R OO10Ub 61369o' ld
 failure in terms of the interests of the agency's mission-or of the
impair the efficiency of the service or expose the national Interests to
hazard or jeopardy. It is an evaluation of risk which seeks to balance
the possibility of prejudicial behavior against the consequences of
national welfare or security. Where the nature of the position is such
that the consequences of failure are of little national import or are
easily reparable, many doubts about an individual's suitability may be
resolved in his or her favor. Where the consequences of failure pose
a greater hazard to the national interests, however, such as with
5'ositions of Special Trust, a smaller degree of doubt may warrant
disqualification.
(b) Reasons for Disqualification -
(1) General: All applicants for or incumbents of positions
ILLEGIB
in the Executive Branch must meet the standard of efficiency cited in
Approved ForFase 2002/08/15 : CIA-RDP87B01034000100030030-9
such employment if his or her conduct may reasonably be expected to
interfere with or prevent his or her effective performance in the position
sought or held, or if such conduct may reasonably be expected to interfere
with or prevent effective performance by the employing agency of its
duties and responsibilities. Any of the following factors may be considered IL L E GIB
a basis for disqualification:
Specifically, an individual shall be disqualified for
Delinquency or misconduct in prior employment';
(ii) Criminal,,dishonest, infamous) notoriously disgracefu
Ap
conduct;~u! *k
(iii) Intentional false statement or ece ion or rau
in examination or appointment;
(iv) Habitual use of intoxicating beverages to excess;
Proved For Release 2002/08/15 : CIA-RDP87BO1034R000100030030-9
(v) Abuse of narcotics, drugs, or other controlled
ILLEGIB
 Approved For ease 2002/08/15 : CIA-RDP87B01030100030030-9
impair the efficiency of the service or expose the national interests to
hazard or jeopardy. It is an evaluation of risk which seeks to balance
the possibility of prejudicial behavior against the consequences of
failure in terms of the interests of the agency's mission-or of the
national welfare or security. Where the nature of the position is such
that the consequences of failure are of little national import or are
easily reparable, many doubts about an individual's suitability may be
resolved in his or her favor. Where the consequences of failure pose
a greater hazard to the national interests, however, such as with
'4ositions of Special Trust, a smaller degree of doubt may warrant
disqualification.
(b) Reasons for Disqualification -
(1) General: All applicants for or incumbents of positions
in the Executive Branch must meet the standard of efficiency cited in
Specifically, an individual shall be disqualified for
such employment if his or her conduct may reasonably be expected to
interfere with or prevent his or her effective performance in the position
%
sought or held, or if such conduct may reasonably be expected to interfere
with or prevent effective performance by the employing agency of its
ILLEGIB
duties and responsibilities. Any of the following factors may be considered
IL L E GIB a basis for disqualification:
C (i) Delinquency or misconduct in prior employment';
(ii) Criminal, dishonest, ,@cr notoriously disgracef~
~G~+ , V.
(iii) Intentional false statement or ece ion or rauc
in examination or appointment;
(iv) Habitual use of intoxicating beverages to excess;
pproved For Release 2002/08/15 : CIA-RDP87BO1034R000100030030-9
(v) Abuse of narcotics, drugs, or other controlled
ILLEGIB
 Approved Fo%&lease 2002/08/15 : CIA-RDP87B010000100030030-9 2 2
appointed to or
involved to the Government of the United States;
lowing factors shall be considered in determining whether the individual's
ri 1 v dual unfit for the service.
(2}""Positions of Special Trust: individual shall not be
addition to the factors specified in ction_8(b)(1)abovethefol_
(vi) Reasonable doubt as to the oyaltylf the person
(vii) Any statutory disqualification which makes the
e-taine-d-in-a--Position of Special Trust unless such
appointment or retention meets the standard cited in sectio
employment meets the stricter standard for a Position of Special Trust
(i) Any facts, circumstances, or conduct which furnish
reason to believe that the person concerned may be
suggesting that the person concerned might fail to
safeguard sensitive information, deliberately or
inadvertently;
(iii) Any illness, including any mental condition, of a
nature which in the opinion of competent medical
authority may cause significant defect in the
judgment or reliability of the person concerned,
with due regard to the transient or continuing
effect of the illness and the medical findings in
such case;
Approved For Release 2002/08/15 : CIA-RDP87BO1034R000100030030-9
subjected to coercion, influence, or pressure which
could cause him to.(act contrary to the national
interest;
(ii) Any facts, circumstances or conduct which indicates
poor judgment, unreliability or untrustworthiness
 Approved ForQplease 2002/08/15 : CIA-RDP87B0103CP00100030030-9
(iv) Wanton or reckless disregard of public law, statutes,
Executive Orders or willful disregard of security
regulations;
(v) Refusal or intentional failure to complete required
personal history statements or security forms, or
otherwise failing or refusing, in the course of an
investigation, interrogation, or hearing, to answer,
or to authorize others to answer, any pertinent
questions regarding the matters set forth in
subsection 8(b)(1) and (2) of this sectionpT'
otherwise-felevrnt to determining suitability for
employment in the Federal service; or
(vi) A background which cannot be verified sufficiently
to permit a p-ostt7ve-"demonstrat.ion of_'trustworthiness.
(c) Considerations in We hing Evidence -
(1) General Guidelines:
While equity requires a degree of uniformity in the
adjudication of individual cases, assuring fair and
consistent evaluation of circumstances from one situation
to the next, each case must be assessed on..its own merits,
taking into consideration all relevant facts, prior
experience of similar cases, the nature of the position
involved, including its level of responsibility and
'sensitivity, and the acceptability of risk. All information
of record, both favorable and unfavorable, must be considered,
and assessed in terms of completeness, relevance, seriousness,
recency, and overall significance.
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 Approved Fo Iease 2002/08/15: CIA-RDP87BO10U000100030030-9
I 24
Any decision must be a common sense one based on a demonstrable
relationship between the facts of the case and the standards
cited in Section 5.
(12) Factors to be Considered:
Although there are certain circumstances which, in them-
selves,-are obvi:)usly disqualifying, such as the use of a
false identity or the various statutory restrictions on
employment, adjudication of most forms of conduct must
include consideration of all pertinent mitigating or
aggravating factors, including the following:
(vi) contributing social or environmental conditions;
(vii.) the voluntariness of the individual's parti-
cipation;
(i) the nature of the position involved, including
the level of responsibility and sensitivity;
(ii) the nature and seriousness of the conduct;
(iii) the circumstances surrounding the conduct;
(iv) the frequency and recency of the conduct;
(v) the age of the individual, if the activity was
an adolescent;
(viii)
the absence or presence of rehabilitation or
effort toward rehabilitation.
Additional Factors to be Considered with regard to
Position of Special Trust:
(i) Refusal by an applicant for or an _incumbent of a
Position of Special Trust to furnish or to authorize
Approved For ll~~?e ~9 /4?/;1sAt: PPI 7 p Q,kQQ(4 3Q-9nd
 Approved For Release 2002/08/15 : CIA-RDP87B010 2000100030030-9
relevant to a determination of his or her suitability
for the particular position may warrant an inference
that the individual's employment cannot be found to
be clearly consistent with the national interests.
(ii) An individual employee who recognizes that he or
she has become involved in an incident or situation,
whether by virtue of some misconduct or indiscretion
on his or her part which could adversely affect
the national interests, and who promptly reports
the matter to appropriate authority, shall receive
a sympathetic response. To the extent consistent
with applicable law or regulation and other criteria
of this order, the individual's voluntariness and
candor in providing such information shall be considered
as a mitigating circumstance and, as appropriate, evidence
of a willingness to rehabilitate.
(4) Factors not to be Considered:
(i) Criminal history information which does not show final
disposition of a charge must be investigated further to
ascertain the disposition and reasons therefor. No
adverse determination shall be made except on the basis
of information which is as complete as circumstances allow.
(ii) No adverse determination shall be made on the basis of
how an individual has exercised his First Amendment rights,
which include but are not limited to, religious and
political beliefs, freedom of speech and of the press, and
Approve dfFor&eIeae Q//1 5ahGI-$RIP P010?48QOYOOP4 0a e9
 Approved Fo F Je sje 2P2 W@$/1A5t:,C WR8ZR 1P QP a1r4OA 4~r~A~~ ic?I o f
violation of ltaw, in which case it is the illegal activit:v
and not the me ,-xvrci..e of right which becomes relevant.
(d) Time]), Adjudication - Ad!r:i f ICI t:'dUbP8Q&M34 ' 01 6'3O '-5y head
 Approved FoRelease 2002/08/15: CIA-RDP87B010000100030030-9
determines the national security permits, the employee shall be notified
of the reasons for the suspension and within 30 days after,such notification
any such person shall have an opportunity to submit any comments or
other evidence relative to the issues. However, within 120 days, if the
determination is adverse,-the-head ._._of._t_hi agency shall take f nr a tion
under oneof the following procedures.
(b)
If the he of a department or agency, based on the circumstaaees-o'f"
from employment or to revoke the individual's clearance for access to
classified information, he shall afford the individual the following:
ILLEGIB
case, determine~-$etic~n el~euld b~ inif atecl-to finally remove an individual
(i)
a written statement of the reasons upon which suc
removal or revocation of clearance for access to classified information
is to be based in such detail as national security permits and as would
afford him an opportunity to respond and offer continents or other evidence
relative to the issues;
(ii} a reasonable opportunity to make such response;
present evidence in his behalf; F
(iv) a reasonable time to prepare for that appearance;
or eligibility for clearance for access to classified information and tI
of which may be prescribed by regulations issued by'the Civil Service
Commission or the head of the department or agency concerned, an oppor-
tunity to appear personally before the Commission or the head of the
department or agency concerned or appropriate designee for the purpose
of supporting his suitability for retention in the position concerned,
(iii) after he has made a response, the form or sufficienEL E GIB
(v) an opportunity to he represented by counsel;
Approved For Release 2002/08/15: CIA-RDP87BO1034R000100030030-9
 suitability for retention in the positio.u concerned or eli Libility for_.
clearance; -
Approved FoOelease 2002/08/15: CIA-RDP87B010 0 Qoi0 r9
(vi) an opportunity to cra