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ISCR Case 18-02233 — CASE

ISCR Case 18-02233denied

Case Headnote

ISCR Case No. 18-02233

deniedOct 10, 2019· Hon. Richard A. Cefola· hearing

Summary

A 27-year-old unmarried applicant was denied a security clearance under Guideline E (Personal Conduct) due to allegations of falsifying documents and providing false information during an investigation. The Statement of Reasons detailed two primary allegations. First, the applicant was accused of submitting falsified documents to University M in August 2014, claiming graduation from College B in July 2014, despite actually receiving her degree in December 2014. Second, she was alleged to have falsified material facts during a February 26, 2018 interview with a DoD investigator by denying the submission of these fraudulent documents to University M.

The administrative judge found that the applicant deliberately falsified material facts during her interview and failed to provide truthful answers. Evidence from University M contradicted her claims regarding her educational application. Furthermore, the applicant did not make prompt or good-faith efforts to correct her falsifications.

These findings led to the denial of her security clearance, with the decision citing Disqualifying Condition AG ¶ 16 (a) under Guideline E.

Why the Applicant Was Denied

The applicant deliberately falsified material facts during her interview with a DoD investigator.
The applicant's claims regarding her educational application were contradicted by evidence from the university.
The applicant did not make prompt or good-faith efforts to correct her falsifications.

Conditions Referenced

Disqualifying

AG ¶ 16 (a)appliedDeliberate Omission, Concealment, or Falsification of Relevant Facts

Key Rule Quoted

“Any doubt concerning personnel being considered for national security eligibility will be resolved in favor of the national security.”

Procedural Posture

SOR issuedOct 5, 2018
Answer filedOct 31, 2018
Hearing held—Applicant requested a decision on the record without a hearing.
Decision dateOct 10, 2019

Cite For

Deliberate Falsification of Material Facts Under Guideline E
Importance of Honesty and Reliability in National Security Assessments
Failure to Mitigate Security Concerns Related to Personal Conduct

Editorial summary generated for research. Not legal advice; not a prediction. Verify against the full decision before relying on any quoted language.

Standardized Decision Profile

SEAD-4 Guideline E (Personal Conduct) · descriptive summary of a decided case

Posture: Decision on RecordDecided: denied

The judge found against the applicant on allegations of personal conduct related to falsification of documents and lack of candor during an interview. The applicant's claims were not sufficient to mitigate the concerns raised, leading to a denial of clearance.

¶	Allegation	Finding	Conduct	Concealed Issue	Response	Disqualifying (¶16)	Mitigating applied (¶17)	Mitigation
1.a	Applicant denies that she submitted falsified and fraudulent documents relating to an application to University M in August of 2014. In her application, Applicant averred that she graduated from College B in July of 2014, when in fact she received her undergraduate degree in December of 2014.	Against Applicant	Falsification Security FormFOUND DELIBERATE	Other	Denied	(a) deliberate omission, concealment, or falsification on a security form	—	—
1.b	Applicant denies that she falsified material facts during an interview with a DoD investigator on February 26, 2018, by denying that she submitted falsified and fraudulent documents relating to an application to University M in 2014.	Against Applicant	Lack of Candor in InterviewFOUND DELIBERATE	Other	Denied	(a) deliberate omission, concealment, or falsification on a security form	—	—

Descriptive standardized rendering of a decided public case (Guideline E). The verbatim source decision is shown in full below.

Full decision

The complete, official text — footnotes and signatures included — is in the original PDF.

Decision text, by section

DEFENSE OFFICE OF HEARINGS AND APPEALS

HEARING

APPEARANCES

______________

DEPARTMENT OF DEFENSE DEFENSE OFFICE OF HEARINGS AND APPEALS

In the matter of: )

)

ISCR Case No. 18-02233

) Applicant for Security Clearance )

For Government: Daniel F. Crowley, Esq., Department Counsel For Applicant: Pro se

October 10, 2019

STATEMENT OF CASE

CEFOLA, Richard A., Administrative Judge: Statement of the Case Applicant submitted a security clearance application (SCA) on October 25, 2017. (Item 3.) On October 5, 2018, the Department of Defense Consolidated Adjudications Facility (DOD CAF) sent her a Statement of Reasons (SOR) alleging security concerns under Guideline E. (Item 1.) The DOD CAF acted under Executive Order (EO) 10865, Safeguarding Classified Information within Industry (February 20, 1960), as amended; DOD Directive 5220.6, Defense Industrial Personnel Security Clearance Review Program (January 2, 1992), as amended (Directive); and the adjudicative guidelines (AG) implemented by the DOD on June 8, 2017. Applicant answered the SOR on October 31, 2018 (Item 2), and requested a decision on the record without a hearing. Department Counsel submitted the Government’s written case on April 25, 2019. A complete copy of the file of relevant material (FORM) was sent to Applicant, including documents identified as Items 1 through 10. She was given an opportunity to file objections and submit material to refute, extenuate, or mitigate the Government’s evidence. She received the FORM on May 9, 2019, and responded on June 9, 2019. Items 1 through 10 are admitted into evidence. The case was assigned to me on July 15, 2019.

FINDINGS OF FACT

Applicant, age 27, is unmarried and has no children. (Item 3 at pages 7 and 26.)

Guideline E: Personal Conduct

1.a. Applicant denies that she submitted falsified and fraudulent documents relating to an application to University M in August of 2014. In her application, Applicant averred that she graduated from College B in July of 2014, when in fact she received her undergraduate degree in December of 2014. (Items 4–8.) In her answer to the SOR, Applicant claims “I did not apply nor submit the needed documents to University” M. (Item 2 at page 1.) This averment is contradicted by her December 9, 2014, statement in which Applicant admits to have “started a graduate application on 7/23/2014.” (Item 6 at page 2.) She also admits said application was “submitted” on “8/17/2014.” (Id.) This allegation is found against Applicant.

1.b. Applicant denies that she falsified material facts during an interview with a DoD investigator on February 26, 2018, by denying that she submitted falsified and fraudulent documents relating to an application to University M in 2014. In her answer to the SOR, Applicant avers, “that all this took place when . . . [her] laptop was out of . . . [her] possession.” (Item 2 at page 1.) Applicant further avers that, “in 2014 . . . [she] was involved in a car accident where . . . [her] MacBook Pro was stolen.” (Id.) By her own admission, the accident occurred “August 22, 2014.” (Item 5 at page 54.) This is contradicted by a letter from University M stating that “the graduate application was started on 07/23/2014, approximately one month prior to” the MacBook Pro being stolen. This allegation is found against Applicant.

POLICIES

When evaluating an applicant’s suitability for a security clearance, the administrative judge must consider the adjudicative guidelines. In addition to brief introductory explanations for each guideline, the adjudicative guidelines (AG) list potentially disqualifying conditions and mitigating conditions, which are to be used in evaluating an applicant’s national security eligibility.

These guidelines are not inflexible rules of law. Instead, recognizing the complexities of human behavior, these guidelines are applied in conjunction with the factors listed in AG ¶ 2 describing the adjudicative process. The administrative judge’s overarching adjudicative goal is a fair, impartial, and commonsense decision. The entire process is a conscientious scrutiny of applicable guidelines in the context of a number of variables known as the whole-person concept. The administrative judge must consider all available, reliable information about the person, past and present, favorable and unfavorable, in making a decision.

The protection of the national security is the paramount consideration. AG ¶ 2(b) requires, “Any doubt concerning personnel being considered for national security eligibility will be resolved in favor of the national security.” In reaching this decision, I have

drawn only those conclusions that are reasonable, logical, and based on the evidence contained in the record. I have not drawn inferences based on mere speculation or conjecture.

Directive ¶ E3.1.14 requires the Government to present evidence to establish controverted facts alleged in the SOR. Directive ¶ E3.1.15 states, “The applicant is responsible for presenting witnesses and other evidence to rebut, explain, extenuate, or mitigate facts admitted by the applicant or proven by Department Counsel, and has the ultimate burden of persuasion as to obtaining a favorable clearance decision.”

A person who seeks access to classified information enters into a fiduciary relationship with the Government predicated upon trust and confidence. This relationship transcends normal duty hours and endures throughout off-duty hours. The Government reposes a high degree of trust and confidence in individuals to whom it grants national security eligibility. Decisions include, by necessity, consideration of the possible risk the applicant may deliberately or inadvertently fail to protect or safeguard classified information. Such decisions entail a certain degree of legally permissible extrapolation as to potential, rather than actual, risk of compromise of classified or sensitive information. Finally, as emphasized in Section 7 of EO 10865, “Any determination under this order adverse to an applicant shall be a determination in terms of the national interest and shall in no sense be a determination as to the loyalty of the applicant concerned.” See also EO 12968, Section 3.1(b) (listing multiple prerequisites for access to classified or sensitive information.)

ANALYSIS

Guideline E: Personal Conduct

The concern under this guideline is set out in AG ¶ 15:

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. The following will normally result in an unfavorable national security eligibility determination, security clearance action, or cancellation of further processing for national security eligibility:

(a) refusal, or failure without reasonable cause, to undergo or cooperate with security processing, including but not limited to meeting with a security investigator for subject interview, completing security forms or releases, cooperation with medical or psychological evaluation, or polygraph examination, if authorized and required; and

(b) refusal to provide full, frank, and truthful answers to lawful questions of investigators, security officials, or other official representatives in connection with a personnel security or trustworthiness determination.

Based on Applicant’s deliberate falsification of material facts during her interview with the DoD investigator, the following disqualifying condition applies:

AG ¶ 16 (a): 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.

The personal conduct security concerns raised in the SOR may be mitigated by any of the following potentially applicable factors in AG ¶ 17:

(a) the individual made prompt, good-faith efforts to correct the omission, concealment, or falsification before being confronted with the facts;

(b) the refusal or failure to cooperate, omission, or concealment was caused or significantly contributed to by advice of legal counsel or of a person with professional responsibilities for advising or instructing the individual specifically concerning security processes. Upon being made aware of the requirement to cooperate or provide the information, the individual cooperated fully and truthfully; and

(c) the offense is so minor, or so much time has passed, or the behavior is so infrequent, or it happened under such unique circumstances that it is unlikely to recur and does not cast doubt on the individual's reliability, trustworthiness, or good judgment.

After considering the mitigating conditions outlined above, none of them apply. Applicant did not make prompt or good-faith efforts to correct her falsifications, but continued them in her answer to the SOR. Personal Conduct is found against Applicant.

WHOLE PERSON CONCEPT

Under AG ¶ 2(c), the ultimate determination of whether the granting or continuing of national security eligibility is clearly consistent with the interests of national security must be an overall common sense judgment based upon careful consideration of the applicable guidelines, each of which is to be evaluated in the context of the whole person. An administrative judge should consider the nine adjudicative process factors listed at AG ¶ 2(d):

(1) the nature, extent, and seriousness of the conduct; (2) the circumstances surrounding the conduct, to include knowledgeable

participation; (3) the frequency and recency of the conduct; (4) the individual’s age and maturity at the time of the conduct; (5) the extent to which participation is voluntary; (6) the presence or absence of rehabilitation and other permanent behavioral changes; (7) the motivation for the conduct; (8) the potential for pressure, coercion, exploitation, or duress; and (9) the likelihood of continuation or recurrence.

I have incorporated my comments under Guideline E in my whole-person analysis, and I have considered the factors in AG ¶ 2(d). After weighing the disqualifying and mitigating conditions under Guideline E, and evaluating all the evidence in the context of the whole person, I conclude that Applicant failed to mitigate the security concerns raised by her falsifications. Accordingly, Applicant has not carried his burden of showing that it is clearly consistent with the national interest to grant her eligibility for access to classified information.

FORMAL FINDINGS

I make the following formal findings on the allegations in the SOR:

Paragraph 1 Guideline E (Personal Conduct): AGAINST APPLICANT

Subparagraphs 1.a and 1.b:

Against Applicant

CONCLUSION

I conclude that it is not clearly consistent with the national interest to grant or continue Applicant’s national security eligibility for access to classified information. Clearance is denied.

Richard A. Cefola Administrative Judge