13 “Adjudicative Guidelines” for Obtaining a Civilian Security Clearance

Pursuing a civilian federal job or working for a government contractor often requires a security clearance. This process determines if you can be trusted with sensitive national security information. The background investigation and evaluation rely on federal Adjudicative Guidelines, essentially the government’s rulebook for assessing your background.

These guidelines provide a standard way for adjudicators to review your history and judge your trustworthiness and reliability. For civilians transitioning from diverse backgrounds, understanding this framework is key. The good news is that it’s not about being flawless. It’s about evaluating potential risks and how you’ve managed or overcome them. This is done through the Whole Person Concept.

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The Whole Person Concept

The Whole Person Concept is the foundation of clearance decisions. No single issue usually results in automatic denial. Adjudicators look at your entire history both positive and negative. They consider the nature and seriousness of any concern, when it happened, your age, whether you took responsibility, and if you’ve changed.

For civilian applicants, your varied life experiences before seeking federal work are all considered. Under this concept, showing context, demonstrating positive changes, and proving you’ve responsibly addressed past issues are crucial.

The adjudicative guidelines for security clearance background investigations are covered below.

Guideline A: Allegiance to the United States

Concern: Ensuring individuals are loyal to the U.S. Actions or statements questioning this loyalty or showing intent to harm the government are major concerns.

Civilian Impact: Essential for any trusted government position. Applies if your actions or associations suggest disloyalty outside of military contexts.

Potentially Disqualifying

• Advocating/promoting the overthrow of the U.S. government.
• Associating with groups involved in terrorism or espionage against the U.S. if aware of their activities.
• Committing or threatening acts of sabotage, espionage, treason, or terrorism against the U.S.
• Clearly showing preference for a foreign country through actions.

Mitigating Factors

• The concerning information is old, with no recent issues.
• Demonstrated loyalty through civic involvement since the past conduct.
• Renouncing past views or associations.
• Voluntarily report any concerns about foreign contacts or activities.

Guideline B: Foreign Influence

Concern: Close ties or obligations to foreign nationals or entities can create potential for outside pressure or coercion.

Civilian Impact: Very common in civilian life due to international families, friends, travel, and business.

Potentially Disqualifying

• Immediate family members, spouse, parents, children, siblings, are foreign nationals.
• Close relationships with other foreign nationals.
• Living with a person who is a foreign national.
• Significant foreign financial interests, accounts, or property.
• Extensive foreign travel or residency unrelated to U.S. duty.
• Unreported contact with foreign government officials.
• Holding dual citizenship or a foreign passport.

Mitigating Factors

• Foreign contacts are citizens of U.S. allies or friendly countries.
• Family members live in the U.S. or friendly countries with no concerning ties.
• Foreign contacts are casual and infrequent.
• Foreign finances are minor, not controlled by a foreign government, and fully reported.
• Travel was limited for legitimate purposes and reported.
• Contact with foreign officials was brief, unavoidable, and reported.
• Demonstrating that foreign ties won’t lead to acting against U.S. interests.

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Guideline C: Foreign Preference

Concern: Actions showing preference for a foreign country over the U.S. may signal a conflict of loyalty.

Civilian Impact: Civilian impact can arise from maintaining strong ties or using privileges of foreign citizenship after becoming a U.S. citizen.

Potentially Disqualifying

• Voting in foreign elections, serving in a foreign government, or promoting foreign political interests.
• Accepting foreign government benefits beyond routine without U.S. approval.
• Using a foreign passport over a U.S. passport.
• Accepting foreign honors without U.S. approval.
• Maintaining foreign military service obligations.

Mitigating Factors

• Foreign citizenship acts were a passive birthright and discontinued.
• Foreign benefits were minor or approved.
• Stopped using a foreign passport and willing to renounce foreign citizenship if needed.
• Conduct was long ago, with no recent preference shown.
• Actions clearly demonstrate primary loyalty to the U.S.

Guideline D: Sexual Behavior

Concern: Behavior is a concern if it’s criminal shows poor judgment or creates vulnerability to coercion. Note Sexual orientation is not a concern.

Civilian Impact: Evaluates behavior that could compromise reliability or make you a target for manipulation in any job.

Potentially Disqualifying

• Criminal sexual offenses.
• Compulsive or high-risk behavior potentially leading to public exposure or coercion.
• Behavior exploited by a foreign power.
• Engaging in behavior that violates laws or codes of conduct in a sexual context.

Mitigating Factors

• The behavior was not recent or an isolated incident.
• The behavior was not criminal.
• Received counseling and changed behavior.
• Behavior doesn’t indicate poor judgment relevant to security.
• Not likely to be subject to coercion.

Guideline E: Personal Conduct

Concern: Behavior showing questionable judgment, untrustworthiness, lack of honesty, or unwillingness to follow rules. Lying during the clearance process is a major issue here.

Civilian Impact: Broadly covers the integrity needed for any trusted civilian position.

Potentially Disqualifying

• Lying or hiding information on the SF-86 or to investigators.
• Pattern of dishonesty in work or personal life, e.g., resume lies or fraud.
• Unexplained wealth inconsistent with income.
• Fraud or misrepresentation.
• Pattern of violating rules or disregarding laws.
• Failure to report required information, foreign contacts, arrests, etc.
• Unethical behavior raises doubts about reliability.
• Serious online conduct shows poor judgment.

Mitigating Factors

• The conduct was isolated, not a pattern.
• Occurred long ago with positive changes since.
• The lie or omission was minor, unintentional, and corrected.
• Voluntarily admitted conduct before discovery.
• The result of immaturity at the time is not the current character.
• Credible evidence of rehabilitation.
• It doesn’t reflect core honesty regarding national security.

Guideline F: Financial Considerations

Concern: Being financially overextended or irresponsible could lead to susceptibility to bribery or indicate poor judgment or unreliability.

Civilian Impact: Most common reason for clearance issues. Directly relates to how you manage your finances in civilian life.

Potentially Disqualifying

• Excessive unmanaged or delinquent debt.
• History of not paying bills.
• Unwillingness to pay debts when able.
• Bankruptcy circumstances are key.
• Tax evasion or failure to file.
• Garnishments, liens, or judgments.
• Financial problems tied to gambling or substance abuse.
• Unexplained income.
• Repeatedly overspending income.

Mitigating Factors

• Debt caused by factors outside your control, such as medical, job loss, or disaster.
• Good faith effort to resolve debt payment plans, counseling, and responsible bankruptcy.
• Received financial counseling and follow a plan.
• The debt amount is small relative to income or assets.
• Problems were long ago with consistent responsibility since.
• Honest disclosure of financial situation.

Guideline G Alcohol Consumption

Concern: Excessive drinking, causing impaired judgment, unreliability, or incidents, is a security risk.

Civilian Impact: Focuses on alcohol patterns impacting job reliability or resulting in civilian incidents like DUIs.

Potentially Disqualifying

• Alcohol-related incidents, DUIs, public intoxication, and workplace issues.
• Regular heavy drinking leads to impairment or problems.
• Alcohol dependence diagnosis.
• Drinking leading to loss of control or need for intervention.
• Hiding alcohol problems.

Mitigating Factors

• Incidents were isolated and long ago, with no recurrence.
• Sought counseling or treatment voluntarily.
• Demonstrated successful rehabilitation or abstinence.
• Behavior was due to immaturity, not current habit.
• Medical opinion confirms the condition is controlled and won’t affect reliability.

Guideline H: Drug Involvement and Substance Misuse

Concern: Use of illegal drugs or misuse of legal substances questions reliability and willingness to follow laws.

Civilian Impact: This is a critical area, especially with state marijuana laws; federal law applies. This includes misuse of prescriptions.

Potentially Disqualifying

• Illegal drug use, including marijuana, is federally illegal.
• Misuse of prescription medications or other legal substances.
• Drug dependence.
• Distributing (or possessing with intent to distribute) drugs.
• Failing drug treatment.
• Associating with drug dealers or users if aware of their activities.
• Use of synthetic drugs.

Mitigating Factors

• Use was infrequent, experimental, and long ago, especially as a youth.
• Voluntarily admitted use and provided full details.
• Completed treatment.
• Significant period of abstinence and commitment to stay drug-free.
• Limited or unavoidable association with drug users that has stopped.
• Strong evidence of rehabilitation and a drug-free life.

Guideline I: Psychological Conditions

Concern: Only if a condition significantly impairs judgment reliability or trustworthiness, or is linked to violence or disregard for security. Seeking help is positive.

Civilian Impact: Your mental health history is relevant only if it functionally impacts your ability to do the job or handle sensitive info reliably. Voluntary therapy is encouraged.

Potentially Disqualifying

• Severe, poorly managed conditions impacting judgment or reliability.
• Behavior showing a propensity for violence or disregard for others’ safety.
• Failing to follow treatment when it leads to concerning behavior.
• Conditions linked to poor judgment, finances, or substance abuse.

Mitigating Factors

• The condition is mild, temporary, or successfully treated.
• A long period of stability without concerning behavior recurrence.
• Cooperating with a mental health professional and following treatment.
• The treating professional confirms the condition is controlled and unlikely to affect reliability.
• A temporarily resolved condition caused the behavior.

Guideline J: Criminal Conduct

Concern: Criminal activity or a pattern of offenses raises doubts about judgment and reliability.

Civilian Impact: Covers any civilian arrests, charges, or convictions. Seriousness and frequency are key.

Potentially Disqualifying

• Pattern of offenses, even minor ones.
• Serious felonies, e.g., violent crimes, major theft, or fraud.
• Crimes involving dishonesty or moral issues.
• Violent criminal behavior.
• Association with criminals or organized crime.
• Failure to follow court orders or probation terms.

Mitigating Factors

• The conduct was minor and isolated.
• Occurred as a youth, not a continuing pattern.
• Significant time passed with no recurrence.
• Completed sentencing or probation.
• Remorse shown and positive life changes made.
• The conduct resulted from circumstances unlikely to happen again.

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Guideline K: Security Violations

Concern: Violating security rules or disregarding procedures shows potential unreliability with classified information.

Civilian Impact: Relevant if past civilian jobs involved sensitive data or strict protocols. Applies directly once you have a clearance.

Potentially Disqualifying

• Unauthorized sharing of classified or sensitive information.
• Not following procedures for handling classified information.
• Trying to gain unauthorized access to information or areas.
• Repeatedly breaking security rules.
• Knowingly bypassing security measures.
• Losing classified materials.

Mitigating Factors

• Violation was isolated, unintentional, and minor.
• Immediately reported the violation.
• Fully cooperated with the investigation.
• Completed extra security training and committed to following rules.
• Violation was long ago, with no subsequent issues.

Guideline L: Outside Activities

Concern: Activities, especially with foreign links, that create conflicts of interest or potential for leverage.

Civilian Impact: Examines activities beyond your main job that could pose a risk, particularly involving foreign governments or entities.

Potentially Disqualifying

• Holding influential roles in foreign political groups.
• Acting for a foreign government or intelligence service.
• Major involvement with foreign businesses that conflict with U.S. interests.
• Activities suggesting acting on behalf of a foreign power.
• Involvement in groups hostile to the U.S.

Mitigating Factors

• Activity has stopped.
• The U.S. government officially approved the activity.
• Activity aligns with U.S. national security interests.
• Fully reported the activity and are transparent.
• The activity was long ago and doesn’t reflect current allegiance.

Guideline M: Use of Information Technology Systems

Concern: Not following rules for using IT systems questions judgment and willingness to follow security rules.

Civilian Impact: Critical for all jobs using computers. Covers misuse of government contractor or personal systems if relevant to suitability or security.

Potentially Disqualifying

• Unauthorized access to IT systems or data.
• Downloading or sharing sensitive information against the rules.
• Accessing illegal content.
• Violating IT security policies.
• Using systems for illegal activities.
• Bringing unauthorized devices into secure areas.

Mitigating Factors

• The incident was isolated, minor, and unintentional.
• Lack of malicious intent.
• Completed required IT security training.
• Corrective actions taken.
• The incident was long ago.

Understanding these guidelines is key if you’re pursuing a civilian federal or contractor career that requires a security clearance. While potential issues exist in many backgrounds, the process evaluates you as a whole person.

Be honest and thorough on your application, the SF-86, and during interviews. If concerns exist, focus on providing context and demonstrating steps you’ve taken to resolve issues and show yourself to be trustworthy and reliable today. Your ability to be upfront and demonstrate positive change is often the most powerful mitigating factor.

 

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