ANNEX A DCID 1/14 ADJUDICATION POLICY & GUIDANCE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP87B01034R000500140114-0
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 10
• Document Creation Date: December 19, 2016
• Document Release Date: December 2, 1998
• Sequence Number: 114
• Content Type: REGULATION

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DCID 1/14 ADJUDICATION POLICY & GUIDANCE
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ANNEX A
DCID 1/14 ADJUDICATION POLICY & GUIDANCE
PURPOSE
This annex is designed to ensure that a uniform approach
is followed by Intelligence Community Agencies in applying
the standards of DCID 1/14. The standards apply to the
adjudication of cases involving persons being considered for
first time access to Sensitive Compartmented Information (SCI)
as well as those cases of persons being readjudicated for
continued SCI access.
ADJUDICATIVE PROCESS
The adjudicative process entails the examination of a
sufficient period of a person's life to make a determination
that the person is not now or is not likely to'later become
an unacceptable security risk. SCI access adjudication is
the careful weighing of a number of variables known as the
"whole person" concept. The recency of occurrence of any
adverse incident, together with the circumstances pertaining
thereto, is central to a fair and uniform evaluation. Key
factors to be considered in adjudication are the maturity and
responsibility of the person at the time certain acts or
violations were committed as well as any repetition or
continuation of such conduct. Each case must be judged on
its own merits.
The ultimate determination of whether the granting of
SCI access is clearly consistent with the interests of national
security shall be an overall common sense determination based
on all available information. In arriving at a decision con-
sistent with the foregoing, the adjudicator must give careful
scrutiny to the following matters.
a. Loyalty
b. Close relatives and associates
c. Homosexuality and sexual perversion
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d. Cohabitation
e. Undesirable character traits
f. Financial irresponsibility
g. Alcohol: abuse
h. Illegal drugs and drug abuse
i. Emotional and mental disorders
j., Record of law violations
k. Security violations
Adjudicative actions concerning the foregoing items are
examined in greater detail below.
LOYALTY
DCID 1/14 establishes the categorical requirement that,
to be eligible for. SCI access, an individual must be of
unquestioned loyalty to the United States.
CLOSE RELATIVES AND ASSOCIATES
DCID 1/14 requires close examination by the SCI adjudicator
when members of an individual's immediate family and persons
to whom he/she is bound by affection or obligation are not
citizens of the United States, or their loyalty or affection
is to a foreign power, or they are subject to any form of
duress by a foreign power, or they advocate the violent over-
throw or unconstitutional alteration of the Government of the
United States.
The adjudicator must assess carefully the degree of
actual and potential influence that such persons may exercise
on the individual based on an examination of the frequency
and nature of personal contact and correspondence with and
the political sophistication and general maturity of the
individual.
A recommendation for access disapproval is appropriate
if there is an indication that such relatives or associates
are connected with any foreign intelligence service.
When there is a "compelling need" for SCI access for an
individual whose family member is a non-US citizen and the
background investigation is otherwise favorable, a waiver
of DCID 1/14 standards may be recommended.
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In some circumstances, marriage of an individual holding
SCI access approval could present an unacceptable security
risk. An individual is required to file an intent to marry
and it is the responsibility of the SIO to advise the individual
of the possible security consequences. If the individual marries
anon-U.S. citizen, SCI access will be suspended until the
case is readjudicated unless an appropriate investigation of
the spouse, as required by Paragraph 11L of DCID 1/14, was
conducted with favorable results. In readjudicating such
cases, the same judgments and criteria as reflected in this
section apply.
HOMOSEXUALITY AND SEXUAL PERVERSION
DCID 1/14 requires that, to be eligible for SCI access,
individuals must be stable, of excellent character and dis-
cretion, and not subject to undue influence or duress throng
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in circumstances in which the conduct indicates a personality
disorder or could result in exposing the individual to direct
or indirect pressure because of susceptibility to blackmail
or coercion as a result of the deviant sexual behavior.
Such behavior includes: bestiality, fetishism, exhibitionism,
necrophilia, nymphomania or satyriasis, masochism, sadism,
pedophilia, transvestism, and voyeurism. Homosexual activity
is also to be considered as a factor in determining an
individual's stability and susceptibility to undue influence
or duress.
In examining cases involving acts of homosexuality or
sexual' perversion, it is relevant to consider the age of
the person, the voluntariness, and the frequency of such
activities, as well as the public nature and the recency of
the conduct. A recommendation for disapproval is appropriate
when, in view of all available evidence concerning the subject's
history of sexual behavior, it appears that access to SCI
could pose a risk to the national security.
urtE~ '112 COHABITATION
Cohabitation with a member of the opposite
T t11-7t, sex, in and of itself, does not preclude SCI access approval.
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The identity of a cohabitant must be ascertained and a
determination made if such association constitutes an un-
acceptable security risk based on the same criteria as in
the section dealing. with Close Relatives and Associates.
Cohabitation with an alien, for example, requires-the same
scrutiny as marriage to an alien. Extra-marital sexual
relations are also of legitimate concern to the SCI
adjudicator when the potential for undue influence or duress
exists.
UNDESIRABLE CHARACTER TRAITS
It is emphasized that an individual's lifestyle is
examin-ed_ only in an effort- to determine whether. a pattern
of behavior exists which .indicates -that `granti.ng SCI access
could pose a risk to national security. In cases where
allegations have been reported which reflect unfavorably on
the reputation of an individual, it is incumbent upon the
SCI adjudicator to distinguish fact from opinion and to
determine which negative characteristics are Teal and pertinent
to an evaluation of the individual's character and which are
unsubstantiated or irrelevant. Relevant negative characteristics
are those which, in the adjudicator's informed. opinion, indicate
that an individual is not willing, able, or likely to protect
SCI information. The adjudicator's personal likes or dislikes
must not be permitted to affect the determination.
Examples of specific concern in determining whether an
individual has undesirable character traits are any substantive
credible derogatory comments by associates, neighbors and other
acquaintances; any litigation instituted against the individual
by such persons as a result of the individual's actions; or
allegations of violations of law. A recommendation for
disapproval would be appropriate for an individual who cannot
be relied upon to obey rules and regulations.
In examining the circumstances of cases involving
incidents of untruthfulness, the adjudicator must weigh
all factors with particular emphasis on establishing the
intent of the. individual. Where an individual has tried to
obscure pertinent or significant facts by falsifying data,
i.e., on the Personal History Statement by either omission or
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false entry, such action should be weighed heavily against
recommending access. Failure to disclose derogatory personal
information, such as a court martial or serious crime, would
appear to be intentional and, consequently, would warrant a
recommendation for disapproval.
FINANCIAL IRRESPONSIBILITY
Financial irresponsibility represents a serious concern
to the SCI adjudicator. Persons who have engaged in espionage
for monetary gain demonstrate the hazard of granting SCI access
to an individual with overly expensive tastes and habits or
living under the pressure of serious debt.
A recommendation for disapproval is appropriate when
there is a pattern. of financial irresponsibility and it appears
that an individual has not made a conscientious effort to
satisfy creditors. In such cases, the adjudicator should
determine whether the individual had been notified about the
debts and whether they were legally valid or ultimately
satisfied.
When the financial irresponsibility alone is not of such
magnitude to warrant disapproval, it may contribute to a
recommendation for denial of SCI access when there is other
evidence of irresponsibility.
ALCOHOL ABUSE
The SCI adjudicator should examine- any information
developed relative to an individual's use of alcoholic
beverages to determine the extent to which such use would
adversely affect the ability of the individual to exercise
the care, judgment, and discretion necessary to protect SCI
information. The adjudicator should determine whether a
pattern of impropriety exists, although one incident caused
by alcohol abuse may be of such magnitude to warrant a
recommendation for disapproval.
In determining the security impact of a person's pattern
of alcohol use, the adjudicator should consider the circum-
stances, amount and rate of consumption, the time and place
of consumption, and the physiological and behavioral effect
such drinking has on the individual. For example, does the
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individual's drinking result in absences from work or.careless
work habits? Does the individual become talkative, abusive
or manifest other undesirable characteristics? Does the
individual drink unti~ intoxicated? Has the individual
been arrested for any acts resulting from the influence of
alcohol?
In the absence of conclusive evidence, additional insight
may be available from appropriate medical authorities. If
the individual acknowledges having an alcohol abuse problem
and is seeking help, it may be appropriate to defer access
determination and monitor the individual's progress for a
year or. so.
If, after considering the nature and sources of the infor-
mation, the adjudicator determines that an individual's
drinking is not serious enough to warrant a recommendation
for disapproval of SCI access, it may be appropriate, to
recommend approval with a warning at the time of indoctrination
that future incidents of alcohol abuse may result in SCI denial.
The adjudicator may also recommend a reinvestigation of the
individual's use of alcohol after an appropriate period of
time has passed.
ILLEGAL DRUGS AND DRUG ABUSE
The SCI adjudicator should examine all allegations of
an individual's use, transport, transfer, sale, cultivation,
processing and manufacturing of hallucinogens, narcotics,
drugs and other materials and chemical.-compounds identified
and listed in the Controlled Substance Act of 1970, as amended.
Consequently an individual's involvement in any of these
activities is of direct concern to the SCI adjudicator in
order to determine the individual's capability to exercise
the care, discretion, and judgment required to protect
SCI information. The use of these substances may lead to
varying degrees of'physical or psychological dependence as
well as having a deleterious effect on an individual's mental
state and ability to function.
Persons involved in drug trafficking, i.e., the commercial
cultivation, processing, manufacturing, purchase or sale of
such substances should normally be;recommended for disapproval.
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In cases involving the use of drugs, the adjudicator
must consider the nature of the substances used and whether
the use is experimental or habitual. The frequency, recency
and circumstances surrounding said use are key elements.
For example, has the individual used "hard" drugs or hallucinogens
such as heroin, cocaine or LSD? Has the individual used drugs
regularly or only on occasion? Does the individual currently
use drugs? Does the individual regularly purchase drugs or
participate merely when offered drugs by others? Has the
individual's behavior been affacted by the use of drugs and,
if so, to what extent?
-once the judgment is made that an individual is a habitual
user of any controlled substance (multiple use beyond the point
of mere experimentation), a recommendation for disapproval
is appropriate. Moreover, repeated use, still in the experi-
mental stage, of hard drugsr ~~g~2a!inas
uch asp h ,D r. c Lci b dlsq l fyi g~!- L ' "& ~,.r~ F . i
EMOTIONAL-AND MENTAL DISORDERS
DCID 1/14 requires that persons considered for access to
SCI be stable and of excellent character and discretion. Emo-
tional and mental disorders which interfere with an individual's
perception of reality or reliability are of serious concern to
the SCI adjudicator in determining whether an individual is
able or willing to protect SCI information.
It is essential to obtain as much information as possible
when an allegation has been made in this area. If feasible,
the individual should be interviewed to obtain additional
details. When appropriate, government psychological and psy-
chiatric personnel should be consulted so that psychiatric or
psychological data may be properly evaluated.
If a current emotional instability appears to be a tem-
porary condition, 'for example, caused by a death, illness or
marital breakup, it may be advisable to recommend postponing
final action and rechecking the situation at a later date.
.This precludes a security disapproval for what may be a tem-
porary condition which, when cured, would have no security
implications.
Military and civilian personnel who decline to take
medical/psychiatric tests when so directed by competent
authority should not be recommended for SCI access.
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RECORD OF LAW VIOLATIONS
In determining whether an individual is "stable, of
excellent character and discretion" as required by I)CID
1/14 for access to SCI, the adjudicator must weigh carefully
any record of law violations by the individual. Although a
pattern of repeated minor traffic violations could be signifi-
cant, the adjudicator is principally concerned with more serious
criminal violations or court actions reflecting adversely upon
the individual's reliability or trustworthiness.
Each case involving convictions for criminal offenses
must be considered from the standpoint of the nature and
seriousness of the offense, the circumstances under which it
occurred, how long ago it occurred, whether it was an isolated
offense or a repeated violation of the law, the offender's
age at the time, social conditions which may have a bearing
on the individual actions, and any evidence of rehabilitation.
Any conviction for a felony will normally support a
recommendation for disapproval. If the offense was com-
mitted many years prior, the subject has shown evidence of
rehabilitation, and the investigation shows no other
derogatory information, an approval may be considered. A
large number of minor offenses, however, could indicate
irresponsibility and may support an adverse recommendation.
SECURITY VIOLATIONS
Most security violations are caused by carelessness or
ignorance with no intention of compromising security. Now-
ever, the record of an individual responsible for multiple
violations should be scrutinized. The individual's current
attitude toward security should be confirmed with his/her
supervisor. A pattern of violations may be sufficient ground
for a recommendation disapproval.
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ROUTING AND TRANSMITTAL SLIP
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i. C/PPG
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Justi
I- The ached Annex A to DCID 1/14 appeared
in folder after the 18 July 1979 SECOM
mee ing. not discussed at the SECCM
meeting. called on 23 July 1979 to say
that this was an action item. I see nothing wrong
with it and propose that the OS position should be
one of support (i.e., no response to SECOM by 1 Aug. 79).
2. In view of (OS SECCM repre-
sentative) absence, n me to-coordinate this
attachment with DD/PSI (specifically CD/4) or make a
unilateral decision in PPG and forgo any reply to
SECOM (therefore, supporting the Annex ?
DO NOT use this form as a RECORD of es, disposals,
clearances, and similar actions
FROM: (Name, org. symbol, Agency/Post) Room No.-Bidg.
5041-102
s} U.S. G.P.O. 1977-241-530/3090
OPTIONAL FORM 41 (Rev. 7-76)
;=124 .d by GSA
1 ICFR) 101-11.206
Date
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