ML20207B146

Directs Personnel Reviewing Personnel Security Investigations or Other Info of Security Concern to Judiciously Apply 10CFR10.11 Criterion within Constraints of Guidance in Manner Intended.Related Info Encl

ML20207B146
Person / Time
Issue date:	04/22/1983
From:	Brady R NRC
To:	Dunleavy J NRC
Shared Package
ML20207B137	List: IA-86-464, Directs Personnel Reviewing Personnel Security Investigations or Other Info of Security Concern to Judiciously Apply 10CFR10.11 Criterion within Constraints of Guidance in Manner Intended.Related Info Encl ML20207B132 ML20207B146
References
FOIA-86-464 NUDOCS 8607170440
Download: ML20207B146 (14)

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APR 2 21933 MEMORANDUM FOR:

James J. Dunleavy, Chief, PERSEC, SEC FROM:

Raymond J. Brady, Director, SEC

SUBJECT:

JUDICIOUS APPLICATION OF 10 CFR 10.11(a)

Following publication on September 2,1982 of the re i

" Criteria and Procedures for Determining v sedEligibility 10 CFR Partfo10 Data or National Security Infonnation or an Employment Clr Access to earance," staff members wording of criterion 10.11(a)(2) rmit could cern thatbethe interpr the exercise of an individual's First Amendment s. right infringement on expressed below: concern relates to the first portion of the criterioSpecifically, n as underlined

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_ Publicly or privately advocated actions that may be inimi interest of the United States, or publicly or privately ad vocated the use States of or force the or violence alteration States by unconstitutional means."of the formto overthrow of government n the e United eof thGovernm will reaffirm that the above underlined portion o n ment rights, this be judiciously applied only in those cases n where an i di will n 10.11(a)(2) i that may be inimical to the interest of the United St t v dual advocates actions cating thef t or diversion of formula quantities a es; offor SNMexample, advo-sought prior to taking or recommending any adjudicative actiELD adv criterion. .

on under the You are directed to ensure that PERSEC personnel who investigations or other information of security concereview personnel se criterion was intended.within the constraints of the above guidance in thrn judicio e manner that it l

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cc: Raymond J. Brady, Director, SEC R. J. Voegeli, ELD l SEC" CEN File 6.10 16.1 i 23.1.3 8607170440 86071b LE -464 PDR %f,Q-Jf -Pg 4/

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EXTRACT - STANDARD OPERATING PROCEDURES III. ANALYSIS AND ADJUDICATION OF DEROGATORY INFORMATION A. Adjudication Guidelines

1. The guidelines in Exhibit III.A.(1) were developed by D00 and can be used to assist NRC personnel security adjudicators in determining an individual's trustworthiness and reliability for employment / retention in sensitive duties and/or access to classified information.

2. The complexities of human behavior preclude the development of a single formula for deciding personnel security cases.

Consequently, the guidelines are intentionally broad and general, demanding continued exercise of the adjudicator's sound judgment, mature thinking and in-depth analysis.

3. Equity of treatment demands optimal uniformity in evaluating individual cases. To assure fair and consistent assessment of circumstances from one situation to the next, each case must be weighed on its own merits, taking into consideratio'i all relevant facts, and prior experience in similar cases. All information of record, both favorable and unfavorable, must be considered and assessed in tems of accuracy, completeness, relevance, serious-ness, recency and overall significance. In all adjudications, the protection of the national security shall be the paramount deteminant, consistent with 10 CFR Part 10.

(- 4. The D00 guidelines are therefore provided only as thought-provoking possible courses of action concerning various types of derogatory information. They should not be considered as all inclusive or as mandatory courses of action which rust be followed; and they must be viewed against the stated criteria and application of the criteria and related procedures in 10 CFR Part 10.

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EXHI91T III.t..(1)

• . D0D Guide Lines (Extract) ,

Mental / Emotional Illness i

Definition: Any 1,llness, including any mental condition which, in the opinion of competent medical authority, may cause significant defect in the judgment or reli- ,

ability of the individual concerned, with due regard to the transient or continuing effect of the illness or mental condition and the medical findings in such cases.

Factors Which May Create a Basis for Denial / Revocation:

1. A current psychiatric evaluation has determined that the individual's illness / mental condition may c e r.= e a si gni fi'c an t defect in the individual's judgment or reliability.

2. Refusal by the individual concerned to furnish medical information, to allow pertinent medical information to be obtained or to submit to examination by DoD or other recognized psychiatric personnel.

3. Documented spouse / child abuse.

4. A pattern of conduct over an extended' period of time re-flecting abnormal behavior indicative of mental. illness even though there is no medical history - and the su'b ject

l. refuses to undergo psychiatric evaluation.

5. , Diagnosis by competent medical authority that the subject suffered from an incapacitating mental illness currently in remission but the illness is of type known to have a high incidence of recurrence.

Mitigating Factors:

1. No evidence of a psychotic condition for the past 20 years, a serious or disabling neurotic disorder for the past 10 years, or a serious character or personality disorder for the past 10 years. In addition, medical records and

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physician interviews reflect that the person's illness /

condition has not caused a significant defect in judgment or reliability.

2. Adverse affect on judgment or reliability not in the nature of the illness / condition.

3. The causal factor (s) underlying the mental condition have .

been rectified - such as divorce, finances in order, physical health crisis over, or 'similar environmental changes.

4. Testimony of medical authority that continued maintenance

( of prescribed medication will preclude recurrence of a condition effecting a significant defect in judgment or reliability.

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ee. e s Security violations De finition: Failure to comply with policies and procedures established for the purpose of safeguarding ,

cla s si fied information.

Factors which May Create a Basis for Denial / Revocation:

1. Two deliberate violations of s e c'u r i t y regulations within 2 years, e.g. taking classi fied in formation home or carrying classified while in a travel status without proper authoriza-

• tion.

2. Any nu.nb(r o f aon-delibe ra te security violations, if the nature of such violations indicates gross negligence of carelessness. .

Mitigating Factors:

1. Violation of secu'rity procedures was caused by or contributed to by an improper or inadequate security brie fing.

2. Individual is personally responsible for a large volume of classified material and the violation (s) was administrative in nature, e . g. inaccurate entry 6n document log or

. certificate of destruction. -

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Organizational / Subversive Affiliations Definition: Knowing membership with the specific intent of fur-thering the aims o f, or adherence to and active participation in, any foreign or domestic organiza-tion, association, movement, group, or combination -

of persons that unlawfully advocates or practices the commission of a'c t s of force or violence to either prevent others frQx exercising their rights

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under the Constitution or laws of the United States, or, to overthrow or alter the form of Government of the United States by unconstitutional means.

Factors which May Cr c .'. t c c Basis for Denial / Revocation:

1. Organization is one which has been characterized by the Department of Justice'as one which meets the above definition.

2. Participation in act that involve force or violence to prevent others from exeycising their rights under the Con'stitution or to overthrow or alter the form of government of the United States.

3. Monetary contributions, service or other support of the organization with the intens of, furthering the unlawful

. objectives of the organization. .

. 4. Deliberate misrepresentation of association with the organi-L. zation.

5. Evidence of continuing sympathy with the unlawful aims and objectives of the organization.

6. Holding a position of major doctrinal and/or managerial influence in the organization.

Mitigating Factors:

1. Lack of understanding of.the. unlawful aims / objectives of the organization.

2. Recency of affiliation or activity. l

. 3. Tempora ry af filiation out of curiosity or academic interest.

4. Sympathy / support limited to the stated, lawful objectives of the organization. ,

5. Age at time of conduct.

6. Contributing social or environmenta'l conditions.

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Drug Abuse Definitions:

Drug Abuse. The illegal or improper use of any psychoactive sub-stance-to include any narcotic, dangerous drug or .

. Cannabis. .

Narcotic. Opium and opium derivatives or synthetic substitutes.

Dangerous Drug. Any of the won-narcotic drugs which'are habit forming or have a potential for abuse because of their stimulant, depressant or hallucinogenic effect.

Cannabis. The intoxicating products of the hemp plant, Cannabis sativa, including but not limited to marijuana, hashish and hashish oil.

Experiment'al Abuse. Abuse'occuring not more than a few times for reasons of curiosity, peer pressure, or other similar reasons. ,

occasional Abuse. Recurrent but infrequent abuse of drugs, no consistent pattern of drug abuse.

' Regular Abuse. Drug abuse on a frequent recurrent basis to the

( point of habituation. . ,

An Addict. One whose relationship to r, substance is one of psy-

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chological and/or physical dependence, and the use of the drug has become compulsive.

Psychological Dependence. The craving for the pleasurable _ mental or emotional effects of a psychoactive substance and the desire for this drug-induced state in preference to the normal .

state such that repeated use is seen as

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necessary for well-being.

Physical Dependence. The adaptive alteration in the body' produced by the prolonged use of a psychoactive sub-stance, which results in withdrawal symptoms when the substance's use is stopped.

Factors Which May Create a Basis for Denial / Revocation:

1. Experimental abuse of any narcotic or dangerous drug within the past 12 months.

2. Occasional abuse of any narcotic or dangerous drug within the last 3 years.

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• 3. Regular abuse or addiction to any narcotic or dangerous

. drug within ,the last 5 years.

4. Regular

• abuse of Cannabis within the last 12 months.

5. Illegal trafficking, cultivation, processing, manufacture, -

sale, distribution or purchase of any narcotic, dangerous drug or Cannabis whether or not the individual was arrested for such activity. Lack of recency is a mitigating factor.

6. Information that the individual intends to continue to use (regardless of frequency) any narcotic, dangerous drug or Cannabis.

Mitigating Factors:

1. Individual has abstained from the illegal or improper use of any narcotic or dangerous drug for at least 3 years and:

. Appears to have a stable lifestyle, including a satisfactory

• employment record; and

. States that they will not use narcotics or dangerous drugs in the future. -

2. Experimental abuse of narcotics or dangerous drugs occured more than 12 months ago, there is no subsequent indication

( of drug abuse and the individual has stated intention not to abuse such drugs in the future.

3. Abuse of Cannabis occurred more than 12 months ago and the individual has indicated intention not to use or possess Cannabis in the future.

4. Experimental or cecasional abuse of Cannabis within the past 12 months provided the individual has:

. Not evidenced any indications of physical or psychological dependence;

. Has had not more than one drug related arrest within the past 2 years; and

. Has a stable li fe s tyle , including s satisfactory employment record.

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SEXUAL MISCONDUCT Definition: Sexual behavior, whether heterosexual or homosexual, which is:

. criminal ,

. notoriously disgraceful

. perverted

. deviate or

. promiscuous .

In cases which involve sexual behavior which is per-verted, deviate, or promiscuous, it is also relevant whether it occurs in public or in pEivate, is con-sensual, whether it involves minors, whether it is indicative of' lack of stability or good j udgment, or reflects an underlying personality disorder. It is

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also important to consider whether in any given case, the individual is suceptible to coercion to act contrary to the interest of national security.

Factors Which May Create a Basis for Denial / Revocation:

f ,1. A pattern of sexual misconduct that indicates that the

- applicant may be subjected to coercien, pressure or

. influence to act contrary to the interests of the United States or which suggests poor judgment or discretion.

2. An incident, involving sexual misconduct, even though is-olated, which in light of the subject's stature in the community or prominence of position may render the individual subject to coercion,' pressure or influence contrary to

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national security. , .

3. Sexual behavior in which, force was used or injuries were intentionally inflicted..

4. Sexual behavior involving minors.

5. Intention to continue any type of sexual misconduct.

6. Sexual misconduct of a notorious nature.

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7. Sexual activity of a public nature.

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8. Sexual misconduct which violates the law.

Indiscriminate or wanton sexual misconduct.

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medical authority attributed by competent judgment / control as a result of a mental or

10. Sexual misconduct to impaired -

emotional condition. .

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Mitigating F a c t o r s_:

Sexual misconduct on a limited number of occasions during 1.

adolescence, with no evidence of subsequent misconduct, and clear indicationsexual that the individual misconduct in has no intention the future.

of participating in isolated incident and is unlikely ,

2. Sexual misconduct was an to recur.

Activity occurred more than 3 years ago, subject does not 3.

appear to be susceptible to blackmail and has a favorable reputation.

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4. Person was a minor involved in an incestuous

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Alcohol Abuse Definition: Any intake of alcohol on a epir. odic or recurring basis that results in impairment of the individual's ability to perform-assigned duties or to adequately ,

safeguard classified informatien.

Factors Which May Create a Basis for Denial / Revocation:

. 1. Use of alcohol which resu]Ns in behavior that adversely affects a oerson's judgment, reliability or discretion.

2. Repeated alcohol related .i n c i d e n t s . ,

3. Alcohol consumption resulting in the deterioration of the individual's physical health, as determined by competent medical authority. -

4. Persons with a previous history of alcohol related problems which have been successfully treated or have completed a rehabilitation program and who subsequently abuse alcohol.

Mitigating Factors: ,

1. Successfully undergoing recognized treatment program.

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2., Consideration may be given to reinstatement of a clearance provided the active phase of the treatment program has been

,successfully completed with all_ indications that subject will be a rehabilitative success. Such progress m'ust include the absence of alcohol-related incidents.

3. Individual has discontinued alcohol abuse for at least 2 years.

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8 . .. Hostage and Foreign Connections -

1' Definition: A hostage situation exists when a person requiring access to classified information or assignment to a sensitive position has immediate family members or other persons to whom he/she is bonded by af- .

fection or obligation residing in a communist country or other countries currently hostile to the United State 1 These countries are of two categories: ,

Category I - Countries which, based on current assessment of the U.S. Intelligence Community,

. possess an intelliscrec c.rcanization with a demonstrated capability of recruiting and exploiting U.S. personnel for intelligence purposes.

Category II - Countries which, although having gg g

, national intelligence objectives inimical to-the United States *do not have the capability of ex-ploiting U.S. personnel for intelligence purposes or have not undertaken to target U.S. personnel for such purposes. (

Factors Which May Create a Basis for Denial / Revocation:

1. Residence of a member of immediate family or a person to '.

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whom the individual is ~ bound by affection or obligation in a Category I country.

2. " Travel, correspondence or financial aid to Category I or Category explanation.

II countries on a regular basis without satisfactory 3.

Dating or cohabiting with a foreign national from a Category I country.

Mitigating Factors:

1.

Individual has a member of their immediate family or person to whom they'are bound by affection or obligation in a Category II country.

2. Individual's personal and/or financial interest in the U.S.

appears sufficient to counter any potential pressure that might be brought to bear, i.e. home owner with strong civic and community ties.

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.Y. . .s FINANCIAL IRRESPONSIBILITY Definition: Unwillingness to meet financial obligations that is indicative of poor judgment, unreliability or untrustworthiness. .

Factors Which.May Create a Basis for Denial / Revocation:

1. History of bad debts and current unmanageable significant indebtedness.

2. Bankruptcy within the last 5 years based on financial irresponsibility.

3. Indebtedness aggravated or caused by gambi'ing, alcohol, drug abuse, or mental or emotional defects.

4. A history or pattern of issuance of non-sufficient funds (NSF) checks.

5. Unfavorable judgments, liens, or repossessions.

6. Deceit / deception, embezzlement, changing address without advising creditors.

7. Applicant's indifference to financial obligations or his/

her stated intention not to meet these obligations in the t

- future.

8. Clear case of financial mismanagement and/or irresponsible expenditures.

Mitigating Factors:

1. Attempts or action to satisfy, creditors.

2. Favorable change in financial habits.

3. Stable employment record and favorable references.

4. Circumstances beyond the individual's control contribut-ing to indebtedness; e.g., major illness, debilitation, decrease or cutoff of income, and indebtedness due to spouse action and similar circumstances.

5. Business related bankruptcy.

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- CRIMINAL CONDUCT _ i De finit ion : Any deliberate or wilful violation of any Federal, State.or local law, regulation or ordinance.

Factor's which May Create a Basis for Denial / Revocation: .

1. Conviction under one of the statutes dealing with the criminal offense of treason, destruction of public records or riots and. civil dipprders,,which provide that individuals so co n vi ct e'd shall not hold any position in the U.S. Government.

2. Criminal acts which are indicative of behavior so serious that the conduct in itself evidences depravity.

3. Conduct that indicates deliberate disregard fo r rights, of others or for the law, generally involving lies, fraud, or deceit for the benefit of the individual.

Such conduct may include but is not limited to the following:

. Misappropriation of funds.

. Falsification of records or accounts or wilful failure to keep accurate records or accounts, f

k . Theft.

.. Offer or acceptance of a bribe.

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4. Established pattern of criminal behavior or involvement in a crime of a serious nature within a recent period of time.

5. Failure to complete a rehabilitation program following the criminal conduct or conduct too recent to provide ,

reasonable assurance that criminal behavior will not .

recur. .

6. Arrest or indictment for a serious crime pending trial.

7. Probation or parole status.

8. In evaluating an arrest record, information that indicates the individual was acquitted, the charges were dropped or nolle prossed, the record was expunged, or the case was dismissed due to procedur,al or other_ technical error, shall not negate the security significance o f the incident.

It should' be borne in mind that decisions with respect to granting or denial of security clearance or employment in ,

a sensitive position are administrative in nature and are

( to be made on the basis of all available information con-corning a person's conduct and actions, not solely on the legal outcome of a criminal proceeding.

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9. Commission of violent crime:

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. acts of which indicate serious mental aberation.

acts which indicate no sense of remorse or probability

• of rehabilitative success.

10. Close and continuing association with persons known to be involved in criminal activities. .

Mitigating Factors:

1., Age / maturity of the individual at the time of the offense.

2. The criminal offense was an isolated incident occurring more than 5 years ago.

3. Transitory condition contributing to the incident,--i.e.,

divorce action, death in family, etc.

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