SEAD 4 Adjudicative Guidelines - Cleared Personnel

Point(s) of Contact

Pamela Hamilton / FSO
843.327.3273
pamela@appliedsecurityknowledge.com

Richard Carmichael / ITPSO
678.221.7834
rcarmichael@laochservices.com

 

SEAD 4 Secret and Top Secret Obligations

Security Executive Agent Directive (SEAD) 4

 

 

Table of Contents

Go to Security Quick Reference Guide

DoD Hotline
dodig.mil/hotline / 800.424.9098

Allegiance to the United States

Allegiance to the United States

"The willingness to safeguard classified or sensitive information is in doubt if there is any reason to suspect an individual's allegiance to the United States. There is no positive test for allegiance, but there are negative indicators. These include participation in or support for acts against the United States or placing the welfare or interests of another country above those of the United States. Finally, the failure to adhere to the laws of the United States may be relevant if the violation of the law is harmful to stated U.S. interests. An individual who engages in acts against the United States or provides support or encouragement to those who have already demonstrated willingness to compromise national security.

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO).

  • Involvement in, support of, training to commit, or advocacy of any act of espionage, treason, terrorism or sedition.
  • Association or sympathy with persons who are attempting to commit, or who are committing, any of the above acts.
  • Association or sympathy with persons or organizations that advocate, threaten or use force or violence, or use any other illegal or unconstitutional means, in an effort to:
  1. Overthrow or influence the U.S. Government or any state or local government.
  2. Prevent Federal, state or local government personnel from performing their official duties.
  3. Gain retribution for perceived wrongs caused by the Federal, state or local government.
  4. Prevent others from exercising their rights under the Constitution or laws of the United States or any state.

 

 

Foreign Influence

Foreign Influence

"Foreign contacts and interest, including but not limited to, business, financial and property interests, are a national security concern if they result in divided allegiance. They may also be a national security concern if they create circumstances in which the individual may be manipulated or induced to help a foreign person, group, organization or government in a way inconsistent with U.S. interest or otherwise make vulnerable to pressure or coercion by any foreign interest."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Contact, regardless of method, with a foreign family member, business or professional associate, friend or other person who is a citizen of or resident in a foreign country if that contact creates risk of foreign pressure, inducement, coercion, manipulation and/or exploitation (PICME).
  • Connections to a foreign person, group, government or country that creates a potential conflict of interest between the individual's obligation to protect classified or sensitive information or technology and the individual's desire to help a foreign person, group or country by providing that information or technology.
  • Failure to report or fully disclose, when required, association with a foreign person, group, government or country.
  • Counterintelligence information, whether classified or unclassified, that indicates the individual's access to classified information or eligibility for a sensitive position may involve unacceptable risk.
  • Shared living quarters with a person or persons regardless of citizenship status, if that relationship creates heightened risk of foreign PICME.
  • Substantial business, financial or property interests in a foreign country or in any foreign owned or foreign-operated business that could subject the individual to a heightened risk of foreign PICME or personal conflict of interest.
  • Unauthorized association with a suspected or known agent, associate or employee of a foreign intelligence entity.
  • Indications that representatives or nationals from a foreign country are acting to increase the vulnerability of the individual to possible future PICME.
  • Conduct, especially while traveling or residing outside of the U.S. that may make the individual vulnerable to PICME by a foreign person, group, government or country.

 

 

Foreign Preference

Foreign Preference

"When an individual acts in such a way as to indicate a preference for a foreign country over the United States, then he or she may provide information or make decisions that are harmful to the interests of the United States. (By itself, the fact that a U.S. citizen is also a citizen of another country is not disqualifying without an objective showing of such conflict or attempt at concealment.)"

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO).

  • Applying for and/or acquiring citizenship in any other country.
  • Failure to report, or fully disclose when required, to an appropriate security official, the possession of a passport or identity card issued by any country other than the U.S.
  • Failure to use a U.S. passport when entering or exiting the U.S. Participation in foreign activities including but not limited to:
  1. Assuming or attempting to assume any type of employment, position or political office in a foreign government or military organization.
  2. Otherwise acting to serve the interests of a foreign person, group, organization or government in any way that conflicts with U.S. national security interests.
  • Using foreign citizenship to protect financial or business interests in another country in violation of U.S. law.
  • An act of expatriation (process of leaving your country and living in a new one) from the U.S. such as declaration of intent to renounce U.S. citizenship, whether through actions or words.

 

 

Sexual Behavior

Sexual Behavior

"Sexual behavior that involves a criminal offense; reflects a lack of judgement or discretion; or may subject the individual to undue influence of coercion, exploitation or duress. These issues, together or individually, may raise questions about an individual's judgment, reliability, trustworthiness and ability to protect classified or sensitive information. Sexual behavior includes conduct occurring in person or via audio, visual, electronic or written transmission. No adverse inference concerning the standards of this guideline may be raised solely on the basis of the sexual orientation of the individual."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Sexual behavior of a criminal nature, whether or not the individual has been prosecuted.
  • A pattern of compulsive, self-destructive or high-risk sexual behavior that the individual is unable to stop.
  • Sexual behavior that causes an individual to be vulnerable to coercion, exploitation or duress.
  • Sexual behavior of a public nature that reflects lack of discretion or judgment.

 

Personal Conduct

Personal Conduct

"Conduct involving questionable judgment, lack of candor, dishonesty or unwillingness to comply with rules and regulations can raise questions about an individual's reliability, trustworthiness and ability to protect classified or sensitive information. Of special interest is any failure to cooperate or provide truthful and candid answers during national security investigative or adjudicative processes."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Deliberate omission, concealment or falsification of relevant facts from any personnel security questionnaire, personal history statement or similar form used to conduct investigations, determine employment qualifications, award benefits or status, determine national security eligibility or trustworthiness or award fiduciary responsibilities.
  • Deliberately providing false or misleading information; or concealing or omitting information, concerning relevant facts to an employer, investigator, security official, competent medical or mental health professional involved in making a recommendation relevant to a national security eligibility determination or other official government representative.
  • Credible adverse information in several adjudicative issue areas that is not sufficient for an adverse determination under any other single guideline, but which, when considered as a whole, supports a whole-person assessment of questionable judgment, untrustworthiness, unreliability, lack of candor, unwillingness to comply with rules and regulations or other characteristic indicating that the individual may not properly safeguard classified or sensitive information. This includes, but is not limited to, consideration of:
  1. Untrustworthy or unreliable behavior to include breach of client confidentiality, release of proprietary information, unauthorized release of sensitive corporate or government protected information.
  2. Any disruptive, violent or other inappropriate behavior.
  3. A pattern of dishonesty or rule violations.
  4. Evidence of significant misuse of government or other employer's time or resources.
  • Personal conduct, or concealment of information about one's conduct, that creates a vulnerability to exploitation, manipulation or duress by a foreign intelligence entity or other individual or group. Such conduct includes:
  1. Engaging in activities which, if known, could affect the person's personal, professional or community standing.
  2. While in another country, engaging in any activity that is illegal in that country.
  3. While in another country engaging in any activity that while legal there, is illegal in the US.
  4. Violation of written or recorded commitment made by the individual to the employer as a condition of employment.
  5. Association with persons involved in criminal activity.

 

 

Financial Considerations

Financial Considerations

"Failure to live within one's means, satisfy debts and meet financial obligations may indicate poor self-control, lack of judgement or unwillingness to abide by rules and regulations, all of which can raise questions about an individual's reliability, trustworthiness and ability to protect classified or sensitive information. Financial distress can also be caused or exacerbated by, and thus can be a possible indicator of, other issues of personal security concern such as excessive gambling, mental health conditions, substance misuse or alcohol abuse or dependence. An individual who is financially overextended is at greater risk of having to engage in illegal or otherwise questionable acts to generate funds."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Inability to satisfy debts.
  • Unwillingness to satisfy debts regardless of the ability to do so.
  • A history of not meeting financial obligations.
  • Deceptive or illegal financial practices such as embezzlement, employee theft, check fraud, expense account fraud, mortgage fraud, filing deceptive loan statements and other intentional financial breaches of trust.
  • Consistent spending beyond one's means or frivolous or irresponsible spending, which may be indicated by excessive indebtedness, significant negative cash flow, a history of late payments or of non-payment or other negative financial indicators.
  • Failure to file or fraudulently filing annual Federal, state or local income tax returns or failure to pay annual Federal, state or local tax as required.
  • Unexplained affluence, as shown by a lifestyle or standard of living, increase in net worth or money transfers that are inconsistent with known legal sources of income.
  • Borrowing money or engaging in significant financial transactions to funding gambling or pay gambling debts.
  • Concealing gambling losses, family conflict or other problems caused by gambling.

 

 

Alcohol Consumption

Alcohol Consumption

"Excessive alcohol consumption often leads to the exercise of questionable judgment or the failure to control impulses and can raise questions about an individual's reliability and trustworthiness."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Alcohol-related incidents away from work, such as driving while under the influence, fighting, child or spouse abuse, disturbing the peace, or other incidents of concern, regardless of whether the individual has been diagnosed with alcohol use disorder.
  • Alcohol-related incidents at work, such as reporting for work or duty intoxicated or impaired condition, drinking on the job or jeopardizing the welfare and safety of others, regardless of whether the individual is diagnosed with alcohol use disorder.
  • Habitual or binge consumption of alcohol to the point of impaired judgment, regardless of whether the individual is diagnosed with alcohol use disorder.
  • Diagnosis by a duly qualified medical or mental health professional (e.g. physician, clinical psychologist, psychiatrist or licensed clinical social worker) of alcohol use disorder.
  • The failure to follow treatment advice once diagnosed.
  • Alcohol consumption, which is not is accordance with treatment recommendations after a diagnosis of alcohol use disorder.
  • Failure to follow any court order regarding alcohol education, evaluation, treatment or abstinence.

 

 

Drug Involvement and Substance Misuse

Drug Involvement and Substance Misuse

"The illegal use of controlled substances, to include the misuse of prescription and non-prescription drugs and the use of other substances that cause physical or mental impairment or are used in a manner inconsistent with their intended purpose can raise questions about an individual's reliability and trustworthiness, both because such behavior may lead to physical or psychological impairment and because it raises questions about a person's ability or willingness to comply with laws, rules and regulations. Controlled substance means any "controlled substance" as defined in 21 U.S.C. 802." Substance misuse is the generic term adopted in this guideline to describe any of the behaviors listed above."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Any substance misuse (see above definition).
  • Testing positive for an illegal drug.
  • Illegal possession of a controlled substance, including cultivation, processing, manufacture, purchase, sale or distribution; or possession of drug paraphernalia.
  • Diagnosis by a duly qualified medical or mental health professional (e.g. physician, clinical psychologist, psychiatrist or licensed clinical social worker) of a substance use disorder.
  • Failure to successfully complete a drug treatment program prescribed by a duly qualified medical or mental health professional.
  • Any illegal drug use while granted access to classified information or holding a sensitive position.
  • Expressed intent to continue drug involvement and substance misuse or failure to clearly and convincingly commit to discontinue such misuse.

 

 

Psychological Conditions

Psychological Conditions

"Certain emotional, mental and personality conditions can impair judgment, reliability or trustworthiness. A formal diagnosis of a disorder is not required for there to be a concern under this guideline. A duly qualified mental health professional (e.g. clinical psychologist or psychiatrist) employed by or acceptable to and approved by the U.S. Government, should be consulted when evaluating potentially disqualifying and mitigating information under this guideline and an opinion, including prognosis, should be sought. No negative inference concerning the standards in this guideline may be raised solely on the basis of mental health counseling."

**Only with the exceptions of strictly marital, family or grief counseling not related to violence or counseling strictly related to adjustments from service in a military combat environment, all mental health treatment or consultation that is received from any health care provider is required to be reported.**

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Behavior that casts doubt on an individual's judgment, stability, reliability or trustworthiness, not covered under any other guideline and that may indicate an emotional, mental or personality condition, including, but not limited to, irresponsible, violent, self-harm, suicidal, paranoid, manipulative, impulsive, chronic lying, deceitful, exploitive or bizarre behaviors.
  • An opinion by a duly qualified mental health professional that the individual has a condition that may impair judgment, stability, reliability or trustworthiness.
  • Voluntary or involuntary hospitalization.
  • Failure to follow a prescribed treatment plan related to a diagnosed psychological/psychiatric condition that may impair judgment, stability, reliability or trustworthiness, including but not limited to, failure to take prescribed medication or failure to attend required counseling sessions.
  • Pathological gambling, the associated behaviors of which may include unsuccessful attempts to stop gambling; gambling for increasingly higher stakes, usually in an attempt to cover losses; concealing gambling losses; borrowing or stealing money to fund gambling or pay gambling debts; and family conflict resulting from gambling.

 

 

Criminal Conduct

Criminal Conduct

"Criminal activity creates doubt about a person's judgment, reliability and trustworthiness. By its very nature, it calls into question a person's ability or willingness to comply with laws, rules and regulations."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • A pattern of minor offenses, any one of which on its own would be unlikely to affect a national security eligibility decision, but which in combination cast doubt on the individual's judgment, reliability or trustworthiness.
  • Evidence (including, but not limited to, a credible allegation, an admission and matters of official record) of criminal conduct, regardless of whether the individual was formally charged, prosecuted or convicted.
  • Individual is currently on parole or probation.
  • Violation or revocation of parole or probation.
  • Violation or revocation of parole or probation, or failure to complete a court-mandated rehabilitation program.
  • Discharge or dismissal from the Armed Forces for reasons less than "Honorable."

 

 

Handling Protected Information

Handling Protected Information

"Deliberate or negligent failure to comply with rules and regulations for handling protected information-which includes classified and other sensitive government information and proprietary information-raises doubt about an individual's trustworthiness, judgment, reliability or willingness and ability to safeguard such information and is a serious security concern."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Deliberate or negligent disclosure of protected information to unauthorized persons, including but not limited to, personal or business contacts, the media or persons present at seminars, meetings or conferences.
  • Collecting or storing protected information in any unauthorized location.
  • Loading, drafting, editing, modifying, storing, transmitting or otherwise handling protected information, including images, on any unauthorized medium.
  • Inappropriate efforts to obtain or view protected information outside one's need-to-know.
  • Copying or modifying protected information in an unauthorized manner designed to conceal or remove classification or other document control markings.
  • Viewing or downloading information from a secure system when the information is beyond the individual's need-to-know.
  • Any failure to comply with rules for the protection of classified or sensitive information.
  • Negligence or lax security practices that persist despite counseling by management.
  • Failure to comply with rules or regulations that results in damage to national security, regardless of whether it was deliberate or negligent.

 

 

Outside Activities

Outside Activities

"Involvement in certain types of outside employment or activities is of security concern if it poses a conflict of interest with an individual's security responsibilities and could create an increased risk of unauthorized disclosure of classified or sensitive information."

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Any employment or service, whether compensated or volunteer with:
  • The government of a foreign country.
  • Any foreign national, organization or other foreign entity.
  • A representative of any foreign interest.
  • Any foreign, domestic or international organization or person engaged in analysis, discussion or publication of material on intelligence, defense, foreign affairs or protected technology.
  • Failure to report or fully disclose an outside activity when this is required.

 

 

Use of Information Technology

Use of Information Technology

"Failure to comply with rules, procedures, guidelines or regulations pertaining to information technology systems may raise security concerns about an individual's reliability and trustworthiness, calling into question the willingness or ability to protect sensitive systems, networks and information."

**Information technology includes any computer-based, mobile or wireless device used to create, store, access, process, manipulate, protect or move information. This includes any component, whether integrated into a larger system or not, such as, hardware, software or firmware, used to enable or facilitate these operations.**

What should be reported?

Cleared employees are required to report the following conditions that could raise a security concern to their Facility Security Officer (FSO). 

  • Unauthorized entry into any information technology system.
  • Unauthorized modification, destruction or manipulation of, or denial of access to, an information technology system.
  • Use of any information technology system to gain unauthorized access to another system or to a compartmented area within the same system.
  • Downloading, storing or transmitting classified, sensitive, proprietary or other protected information on or to any unauthorized information technology system.
  • Unauthorized use of any information technology system.
  • Introduction, removal or duplication of hardware, firmware, software or media to or from any information technology system when prohibited by rules, procedures, guidelines or regulations or when otherwise not authorized.
  • Negligence or lax security practices in handling information technology that persists despite counseling by management.
  • Any misuse of information technology, whether deliberate or negligent, that results in damage to national security.