TABLE OF CONTENTS PART ONE HISTORY AND PROCEDURAL GUIDE

Transcription

1 TABLE OF CONTENTS PART ONE HISTORY AND PROCEDURAL GUIDE CHAPTER ONE: INTRODUCTION AND RECENT DEVELOPMENTS... 3 I. CHANGES AFTER 9/ II. BACKLOGS...4 III. ESPIONAGE...6 IV. LEAKING OF CLASSIFIED INFORMATION...7 A. CHELSEA MANNING...7 B. EDWARD SNOWDEN...7 C. STEPHEN KIM...8 D. THOMAS DRAKE...8 E. SHAMAI LEIBOWITZ...8 F. JEFFREY STERLING...8 G. JOHN KIRIAKOU...9 H. REALITY WINNER...9 I. HAROLD T. MARTIN, III...9 J. GOVERNMENT RESPONSE...9 V. SPEED SACRIFICED QUALITY? A. AARON ALEXIS THE NAVY YARD SHOOTER B. CONGRESSIONAL RESPONSE C. US ARMY MAJOR NIDAL HASAN 2009 FORT HOOD SHOOTER D. U.S. INVESTIGATIONS SERVICES, INC. (USIS) E. NATIONAL BACKGROUND INVESTIGATIONS BUREAU (NBIB) VI. OTHER RECENT DEVELOPMENTS A. MENTAL HEALTH ISSUES B. REVISED SF C. EFFECT OF STATES LEGALIZATION OF MEDICAL AND RECREATIONAL MARIJUANA USE D. DNA TESTING? E. PROTECTIONS FOR WHISTLEBLOWERS F. CHANGES IN THE ADJUDICATIVE GUIDELINES G. CRYPTOCURRENCIES H. SOCIAL MEDIA VII. OTHER USEFUL REFERENCES CHAPTER TWO: HISTORY I. DEFENSE OFFICE OF HEARINGS AND APPEALS II. DEFENSE CONSOLIDATED ADJUDICATIONS FACILITY III. PRIVATE SECTOR EMPLOYEES (EMPLOYEES OF GOVERNMENT CONTRACTORS) IV. FEDERAL EMPLOYEES AND UNIFORMED SERVICES V. FEDERAL EMPLOYEE SUITABILITY AND FITNESS DETERMINATIONS VI. EMPLOYEES NOT COVERED BY DOHA A. HIGHER LEVEL CLEARANCES AND ACCESS B. DEPARTMENT OF ENERGY AND NUCLEAR REGULATORY COMMISSION C. CIA/NSA VII. MAKING IMPROVEMENTS OVER THE YEARS A. EMPLOYEE ASSISTANCE PROGRAMS B. THE INTELLIGENCE REFORM AND TERRORISM PREVENTION ACT CHAPTER THREE: ADMINISTRATIVE PROCEDURES I. GOVERNMENT CONTRACTOR EMPLOYEES A. INVESTIGATION B. INTERIM CLEARANCE C. CONDITIONAL CLEARANCE D. JOINT PERSONNEL ADJUDICATION SYSTEM E. REFERRAL TO DOHA F. STATEMENT OF REASONS SECURITY CLEARANCE LAW AND PROCEDURE i

2 G. REQUEST FOR HEARING H. ROLE OF DEPARTMENT COUNSEL I. ASSIGNMENT TO ADMINISTRATIVE JUDGE J. HEARING PROCEDURES Right to Counsel Right to a Hearing vs. Decision on the Record Location of Hearing Discovery Prehearing Procedures The Hearing Exhibits Witnesses Ex parte Communications Leaving the Record Open Written Decision K. REIMBURSEMENT L. APPEALS M. REAPPLICATION II. FEDERAL EMPLOYEES A. EXECUTIVE BRANCH POSITIONS B. SECURITY CLEARANCE PROCESS C. CENTRAL ADJUDICATIONS D. INVESTIGATION E. STATEMENT OF REASONS F. RESPONSE TO THE STATEMENT OF REASONS G. FINAL CAF DECISION H. APPEAL OF LETTER OF DENIAL/REVOCATION I. PERSONAL APPEARANCE PROCEDURE Assignment to Administrative Judge Personal Appearance Guide Location Right to Counsel Department Counsel Witnesses/Exhibits Order of Proceedings Recommended Decision Final Decision Eligibility With Conditions Remedies III. DOHA PROCESSING TIME IV. STATISTICS V. PROCEDURES FOR HIGHER LEVEL CLEARANCES AND ACCESS A. CENTRAL INTELLIGENCE AGENCY B. NATIONAL RECONNAISSANCE OFFICE C. NATIONAL SECURITY AGENCY D. DEPARTMENT OF ENERGY VI. DEBARMENT VII. CONDUCTING RESEARCH A. PRIVATE SECTOR CONTRACTOR CASES B. FEDERAL EMPLOYEE DECISIONS C. COURSES AND MATERIALS CHAPTER FOUR: PROCEDURAL ISSUES APPLICABLE TO HEARINGS AND PERSONAL APPEARANCES I. BURDEN OF PROOF II. THE STATEMENT OF REASONS III. EVIDENCE A. NEXUS B. MATERIALITY C. EXCLUSIONARY RULE ii TABLE OF CONTENTS

3 D. HEARSAY E. CIRCUMSTANTIAL EVIDENCE F. OFFICIAL NOTICE/ADMINISTRATIVE NOTICE Scope of Administrative Notice Unauthorized Fact-Finding Notice Requirement G. BUSINESS RECORDS H. ADMISSIONS I. POST-RECORD CLOSING EVENTS J. EVIDENCE OF JOB PERFORMANCE K. EVIDENCE OF APPLICANT S VALUE TO EMPLOYER L. EVIDENCE OF APPLICANT S NEED FOR JOB M. MEDICAL EVIDENCE N. ADMISSIBILITY OF THE REPORT OF INVESTIGATION O. TESTIMONY AS TO FUTURE BEHAVIOR P. SURPRISE EVIDENCE Q. INTENT/STATE OF MIND R. ESTOPPEL Equitable Estoppel a. Where Government Has Previously Granted Clearance Despite Knowing About Prior Alleged Misconduct b. Effect of Prior Favorable Adjudication Collateral Estoppel Res Judicata S. CLEARANCES GRANTED TO SIMILARLY SITUATED INDIVIDUALS T. CONDUCT NOT CHARGED IN SOR IV. WITNESSES A. CREDIBILITY DETERMINATIONS The General Rule Numerous Exceptions Credibility Determinations Based on Written Record Credibility Determination as Proof of Contested Facts Expert Opinion as to Applicant Credibility B. CORROBORATION C. IMPEACHMENT D. DEMEANOR E. RECANTATION F. CLAIMS OF PRIVILEGE G. CHARACTER REFERENCES V. EXPERT WITNESSES VI. CONSTITUTIONAL ISSUES A. FIRST AMENDMENT B. FOURTH AMENDMENT C. FIFTH AMENDMENT D. SIXTH AMENDMENT E. EIGHTH AMENDMENT VII. JURISDICTIONAL ISSUES A. GENERAL ISSUES B. JURISDICTION WHEN APPLICANT QUITS OR IS FIRED VIII. OTHER PROCEDURAL ISSUES A. ADVISORY OPINIONS B. ADP I, II, AND III CASES C. CLASSIFIED INFORMATION D. DIRECTIVE, CHALLENGES TO E. FILE OF RELEVANT MATERIAL F. FOREIGN LAW G. GOOD FAITH H. INVESTIGATION I. LEVEL OF CLEARANCE J. OPERATING INSTRUCTIONS SECURITY CLEARANCE LAW AND PROCEDURE iii

4 K. PRECEDENT L. RECIPROCITY M. TRUSTWORTHINESS DETERMINATIONS N. DEFERENCE TO EMPLOYER S VERSION OF EVENTS CHAPTER FIVE: CRIMINAL PROCEDURE I. CONSTITUTIONAL PROTECTIONS II. FEDERAL RULES OF EVIDENCE III. ADMISSIONS IV. ARREST V. EFFECT OF ACQUITTAL, DISMISSED CHARGES, AND DROPPED CHARGES VI. BEING ON PROBATION VII. CRIMINAL SENTENCE VIII. DISPUTING A CRIMINAL CONVICTION AT DOHA: COLLATERAL ESTOPPEL IN CLEARANCE ADJUDICATIONS A. STATE LAW DOES NOT AFFECT THE PROCEDURE USED AT ADMINISTRATIVE HEARINGS B. PLEA OF NOLO CONTENDERE C. THE ALFORD DOCTRINE IX. THE BOND AMENDMENT CHAPTER SIX: THE POLYGRAPH I. CAN A MACHINE REALLY TELL WHEN SOMEONE IS LYING II. HOW DOES IT WORK? III. DOHA CASES INVOLVING POLYGRAPH ISSUES A. USE OF A PRIVATE POLYGRAPHER B. INTIMIDATION BY MACHINE C. ADMISSIBILITY OF GOVERNMENT POLYGRAPHER S REPORT D. TOO DRUGGED FOR ACCURACY E. USE OF COUNTERMEASURES CHAPTER SEVEN: APPEALS I. PROCEDURES II. REQUEST FOR STAY III. INTERLOCUTORY APPEALS IV. ORAL ARGUMENT V. APPEAL BRIEFS VI. STANDARD OF REVIEW VII. VIII. STATUTORY CONSTRUCTION ARGUMENTS THAT THE ADMINISTRATIVE JUDGE WAS BIASED A. BIAS FOUND AND CASE REMANDED TO NEW JUDGE B. NO BIAS FOUND IX. REVERSE OR REMAND X. ARGUMENTS FOR REVERSAL OF THE DECISION A. CHALLENGING THE FINDINGS OF FACT B. CHALLENGING THE CONCLUSIONS OF LAW C. CHALLENGING WHETHER GOVERNMENT MET ITS BURDEN OF PROOF D. CHALLENGING THE JUDGE S CREDIBILITY DETERMINATIONS E. FAILURE TO CONSIDER SIGNIFICANT EVIDENCE F. FAILURE TO PRESERVE RECORD XI. XII. NO NEW EVIDENCE OR ARGUMENTS ON APPEAL, EXCEPT TO RESOLVE DUE PROCESS AND JURISDICTIONAL QUESTIONS RECONSIDERATION OF APPELLATE DECISION CHAPTER EIGHT: RELEVANT CASES PART TWO ADJUDICATIVE GUIDELINES AND CASE ANALYSES INTRODUCTION: ADJUDICATIVE GUIDELINES AND CASE ANALYSES I. THE GENERAL CRITERIA FOR ADJUDICATION: A. THE GUIDELINES AND FACTORS: iv TABLE OF CONTENTS

5 B. ADJUDICATORS MUST CONSIDER PAST BEHAVIOR TO PREDICT FUTURE TRUSTWORTHINESS C. ADJUDICATORS MUST CONSIDER THE WHOLE PERSON D. ADJUDICATORS CANNOT MAKE A PIECEMEAL ANALYSIS E. FALSIFICATION GOES TO THE HEART OF THE SECURITY CLEARANCE PROCESS F. EXCEPTIONS: WAIVERS AND CONDITIONAL CLEARANCES II. THE SPECIFIC ADJUDICATIVE GUIDELINES A. WHICH GUIDELINE IS APPLICABLE? B. FACTORS APPLIED UNDER ANY GUIDELINE: C. REHABILITATION D. RECENCY III. CASE ANALYSES ADJUDICATIVE GUIDELINE A: ALLEGIANCE TO THE UNITED STATES ADJUDICATIVE GUIDELINE B: FOREIGN INFLUENCE I. THE APPLICANT S CONNECTION WITH A FOREIGN COUNTRY A. HEIGHTENED RISK OF EXPLOITATION B. LOYALTY MAY BE CONSIDERED C. HEROIC SERVICE TO THE U.S.: THE EXCEPTION TO THE GENERAL RULE D. FOREIGN RELATIVES POSE THE THREAT OF COERCION E. THE APPLICANT S RELATIONSHIP WITH THE FOREIGN RELATIVE(S) F. ACTIVITIES AND OCCUPATION OF THE FOREIGN RELATIVE II. THE GEOPOLITICAL CONSIDERATIONS IN THE FOREIGN COUNTRY MUST BE CONSIDERED A. ADMINISTRATIVE NOTICE DOCUMENTS III. TREATMENT OF SPECIFIC COUNTRIES A. AFGHANISTAN B. BANGLADESH C. BELARUS D. BOLIVIA E. CANADA F. CHINA, PEOPLE S REPUBLIC OF (PRC) G. COLOMBIA H. CUBA I. EGYPT J. FRANCE K. GAZA L. GERMANY M. HONG KONG N. INDIA O. INDONESIA P. IRAN Q. ISRAEL R. KUWAIT S. KYRGYZSTAN T. LEBANON U. LIBYA V. MEXICO W. MOROCCO X. NIGERIA Y. PAKISTAN Z. PHILIPPINES AA. RUSSIA BB. SOMALIA CC. SOUTH AFRICA DD. SUDAN EE. SWEDEN FF. SYRIA GG. TAIWAN HH. TURKEY II. UKRAINE SECURITY CLEARANCE LAW AND PROCEDURE v

6 JJ. UZBEKISTAN KK. VENEZUELA LL. VIETNAM MM. YEMEN ADJUDICATIVE GUIDELINE C: FOREIGN PREFERENCE I. PASSPORT CASES II. FOREIGN CITIZENSHIP III. FINANCIAL INTEREST IN A FOREIGN COUNTRY IV. FOREIGN MILITARY SERVICE ADJUDICATIVE GUIDELINE D: SEXUAL BEHAVIOR I. VIEWING PORNOGRAPHY II. PROSTITUTION III. CRIMINAL SEXUAL BEHAVIOR ADJUDICATIVE GUIDELINE E: PERSONAL CONDUCT I. FALSIFICATION A. A MISTAKE IS NOT FALSIFICATION B. MITIGATING FALSIFICATION CHARGES Prompt Good Faith Effort to Correct Admit to Error and Apologize II. PERSONAL CONDUCT CASES NOT INVOLVING FALSIFICATION A. FAILURE TO COOPERATE WITH INVESTIGATION B. DEBTS AS POOR JUDGMENT C. WORK-RELATED MISCONDUCT D. POOR JUDGMENT; VULNERABILITY TO COERCION E. ASSOCIATING WITH A CRIMINAL ADJUDICATIVE GUIDELINE F: FINANCIAL CONSIDERATIONS I. RESOLVING DEBTS A. BACKGROUND INVESTIGATORS WILL LEARN OF DEBTS THROUGH THE SCA AND CREDIT REPORTS B. RESOLVING GUIDELINE F CONCERNS BEFORE THE HEARING C. RESOLVING GUIDELINE F CONCERNS AT AND AFTER A HEARING D. MITIGATION REQUIRES A GOOD-FAITH EFFORT TO REPAY Involuntary Garnishment Is Not Good Faith Payment of Debt Reliance on Statutes of Limitation Not a Good Faith Effort Bankruptcy Not (Necessarily) Disqualifying But Not Good Faith Effort Strategic Default Not a Good Faith Effort Reliance on State Anti-Deficiency Statutes After the 2008 Financial Downturn and Mortgage Lending Crisis Given Limited Validity II. CONDITIONS FOUND TO BE DISQUALIFYING OR MITIGATING A. INABILITY TO SATISFY DEBTS DISQUALIFYING B. DIVORCE AND OTHER SPOUSAL PROBLEMS OF LIMITED VALUE IN MITIGATION C. GAMBLING AND OTHER HABITS THAT ADVERSELY AFFECT FINANCES DISQUALIFYING D. FINANCIAL POOR JUDGMENT DISQUALIFYING E. FAILURE TO PAY TAXES MAY NOW BE MITIGATED F. UNEXPLAINED WEALTH WILL ATTRACT SCRUTINY ADJUDICATIVE GUIDELINE G: ALCOHOL CONSUMPTION I. MITIGATION IS POSSIBLE II. ALCOHOL DEPENDENCE HAS NOT CHANGED III. A PATTERN IS A PROBLEM ADJUDICATIVE GUIDELINE H: DRUG INVOLVEMENT AND SUBSTANCE MISUSE I. MITIGATION A. A SIGNED STATEMENT OF INTENT IS CRUCIAL TO MITIGATION B. FINDING OF PATTERN OF ABSTINENCE UNDER AG 26(B)(3) DIFFICULT IF THERE IS A LONG HISTORY OF DRUG USE II. HARD TO MITIGATE IF YOU USE DRUGS WHILE HOLDING A CLEARANCE vi TABLE OF CONTENTS

7 A. MEDICAL MARIJUANA NOT GENERALLY PERSUASIVE ADJUDICATIVE GUIDELINE I: PSYCHOLOGICAL CONDITIONS I. EVIDENCE OF COOPERATION WITH TREATMENT AND MEDICATION II. RELIANCE ON EXPERT PSYCHIATRISTS III. COMPLIANT WITH TREATMENT BUT FOR HOW LONG? IV. RELIANCE ON THE DIAGNOSTIC AND STATISTICAL MANUAL OF MENTAL DISORDERS ADJUDICATIVE GUIDELINE J: CRIMINAL CONDUCT I. HAS SUFFICIENT TIME ELAPSED? II. HOW MUCH REFORM AND REHABILITATION IS ENOUGH? III. FALSIFICATION IV. INVOLVEMENT WITH CRIMINALS V. A PATTERN OF MINOR OFFENSES ADJUDICATIVE GUIDELINE K: HANDLING PROTECTED INFORMATION I. DELIBERATE VIOLATIONS ARE HARD TO MITIGATE II. MULTIPLE VIOLATIONS OVER TIME III. CASES IN WHICH CLASSIFIED INFORMATION WAS NOT INVOLVED IV. TRYING TO HIDE THE EVIDENCE NOT GOOD ADJUDICATIVE GUIDELINE L: OUTSIDE ACTIVITIES ADJUDICATIVE GUIDELINE M: USE OF INFORMATION TECHNOLOGY SYSTEMS APPENDICES TABLE OF CONTENTS APPENDIX 1: DOHA DOCUMENTS (CONTRACTORS) I. STATEMENT OF REASONS II. DISCOVERY LETTER III. DEPARTMENT COUNSEL S REQUEST FOR ADMINISTRATIVE NOTICE IV. NOTICE OF HEARING V. PREHEARING GUIDANCE VI. CASE MANAGEMENT ORDER VII. DECISION LETTER FAVORABLE VIII. NOTICE OF CANCELLATION OF HEARING IX. NOTICE OF WITHDRAWAL OF STATEMENT OF REASONS X. DECISION LETTER UNFAVORABLE APPENDIX 2: DOHA DOCUMENTS (FEDERAL EMPLOYEES) I. STATEMENT OF REASONS II. AIR FORCE DOD CAF REQUEST FOR RECORDS III. INSTRUCTIONS FOR RESPONDING TO A SOR IV. PREHEARING GUIDANCE V. SUBMISSION OF EXHIBITS AND WITNESSES APPENDIX 3: INTELLIGENCE COMMUNITY DOCUMENTS I. CIA LETTER RESCINDING CONDITIONAL OFFER OF EMPLOYMENT II. CIA STATEMENT OF REASONS III. CIA INVESTIGATIVE FILE COVER LETTER IV. CIA ACKNOWLEDGMENT LETTER V. CIA INSTRUCTIONS FOR PERSONAL APPEARANCE VI. CIA DENIAL LETTER VII. NSA STATEMENT OF REASONS VIII. NSA DECISION TO SUSTAIN DENIAL IX. NSA INSTRUCTIONS FOR APPEAL HEARING X. NSA FAVORABLE DECISION SECURITY CLEARANCE LAW AND PROCEDURE vii

8 XI. NSA DENIAL DECISION APPENDIX 4: DEPARTMENT OF STATE DOCUMENTS I. DEPARTMENT OF STATE STATEMENT OF REASONS II. DEPARTMENT OF STATE COVER LETTER TO INVESTIGATIVE FILE APPENDIX 5: IMPORTANT DOCUMENTS AND PUBLICATIONS I. GENERAL SECURITY CLEARANCE DOCUMENTS II. DEFENSE DEPARTMENT DOCUMENTS III. INTELLIGENCE COMMUNITY DOCUMENTS IV. EXECUTIVE ORDERS V. FEDERAL ACTS VI. GAO REPORTS VII. LEAKING CLASSIFIED INFORMATION DOCUMENTS VIII. POLYGRAPH DOCUMENTS IX. MENTAL HEALTH DOCUMENTS X. MARIJUANA DOCUMENTS XI. MEDIA DOCUMENTS XII. CRYPTOCURRENCIES XIII. RECIPROCITY XIV. OTHER USEFUL PUBLICATIONS AND WEBSITES APPENDIX 6: TIPS FOR PRACTITIONERS APPENDIX 7: 2017 ADJUDICATIVE GUIDELINES I. ADJUDICATIVE GUIDELINE A ALLEGIANCE TO THE UNITED STATES II. ADJUDICATIVE GUIDELINE B FOREIGN INFLUENCE III. ADJUDICATIVE GUIDELINE C FOREIGN PREFERENCE IV. ADJUDICATIVE GUIDELINE D SEXUAL BEHAVIOR V. ADJUDICATIVE GUIDELINE E PERSONAL CONDUCT VI. ADJUDICATIVE GUIDELINE F FINANCIAL CONSIDERATIONS VII. ADJUDICATIVE GUIDELINE G ALCOHOL CONSUMPTION VIII. ADJUDICATIVE GUIDELINE H DRUG INVOLVEMENT AND SUBSTANCE MISUSE IX. ADJUDICATIVE GUIDELINE I PSYCHOLOGICAL CONDITIONS X. ADJUDICATIVE GUIDELINE J CRIMINAL CONDUCT XI. ADJUDICATIVE GUIDELINE K HANDLING PROTECTED INFORMATION XII. ADJUDICATIVE GUIDELINE L OUTSIDE ACTIVITIES XIII. ADJUDICATIVE GUIDELINE M USE OF INFORMATION TECHNOLOGY SYSTEMS viii TABLE OF CONTENTS