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ISCR Case 20-01143 — CASE

Case record

ISCR Case 20-01143

A decided public DOHA case, shown for research — not advice or a prediction.

Case Profile
Decision Date4/5/2021
Statusdenied
LevelHEARING
TypeSTANDARD ISCR
Participants
Applicant Representation: Pro Se
Judge: Robert Robinson Gales
Government Counsel: Alison P. O'Connell
Case Summary
The applicant in this case was a 34-year-old network engineer employed by a defense contractor, who sought a security clearance. The Defense Office of Hearings and Appeals (DOHA) issued a Statement of Reasons (SOR) citing security concerns under Guideline F (Financial Considerations). The SOR alleged that the applicant failed to file federal and state income tax returns for multiple years, specifically 2012, 2013, 2016, 2017, 2018, and 2019, raising questions about his reliability and trustworthiness.
In his response to the SOR, the applicant admitted to the allegations regarding his financial issues, attributing his failure to file taxes on time to anxiety and depression. He claimed to have engaged a tax expert to assist him but did not provide medical documentation to support his claims or specify when he began this engagement. The applicant filed his overdue tax returns only after the SOR was issued, which the administrative judge noted as a lack of proactive behavior in addressing his financial obligations.
The administrative judge ruled against the applicant, concluding that he failed to mitigate the security concerns related to his financial situation. The judge found that the applicant's ongoing failure to resolve his tax issues over several years, despite acknowledging them, indicated a lack of judgment and self-discipline. The judge determined that the applicant's financial difficulties were not sufficiently explained by circumstances beyond his control and that his actions did not demonstrate a commitment to resolving his financial obligations in a timely manner. Consequently, the applicant's eligibility for a security clearance was denied.
Guidelines Evaluated
- Guideline FFinancial Considerations · Against Applicant
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Case Headnote

ISCR Case No. 20-01143

deniedApr 5, 2021· Hon. Robert Robinson Gales· hearing

Summary

A 34-year-old defense contractor was denied a security clearance under Guideline F, Financial Considerations, due to a consistent failure to timely file federal and state income tax returns. Specifically, the applicant did not file returns for the tax years 2012, 2013, 2016, 2017, 2018, and 2019. This pattern of non-compliance raised significant concerns about his reliability and trustworthiness.

The applicant cited anxiety and depression as mitigating factors for his financial issues. However, he failed to provide sufficient medical documentation to substantiate these claims. Furthermore, his tax issues were not resolved until after he was notified of the security concerns, which was viewed as an indication of poor judgment.

Ultimately, the judge concluded that the applicant's actions did not demonstrate responsible behavior regarding his financial obligations. The lack of supporting evidence for his mitigating claims and the timing of his efforts to address the tax delinquencies led to the denial of his security clearance.

Why the Applicant Was Denied

The applicant failed to timely file federal and state income tax returns for the tax years 2012, 2013, 2016, 2017, 2018, and 2019.
The applicant did not provide medical documentation to support his claims of anxiety and depression affecting his ability to file taxes.
The applicant's failure to resolve his tax issues until after being notified of the security concerns indicated poor judgment and reliability.

Conditions Referenced

Disqualifying

AG ¶ 19(f)appliedFailure to File or Fraudulently Filing Annual Federal, State, or Local Income Tax Returns

Mitigating

AG ¶ 20(g)appliedThe Individual Has Made Arrangements with the Appropriate Tax Authority to File or Pay the Amount Owed and Is in Compliance with Those ArrangementsThe applicant began to resolve his tax issues only after being notified of the security concerns.

Key Rule Quoted

“"A person who seeks access to classified information enters into a fiduciary relationship with the Government predicated upon trust and confidence."”

Procedural Posture

SOR issuedSep 10, 2020
Answer filedNov 17, 2020Applicant elected to have his case decided on the written record.
Hearing held—Decision made based on written record.
Decision dateApr 5, 2021

Cite For

Failure to Timely File Tax Returns as a Disqualifying Condition Under Guideline F
Insufficient Evidence of Mitigation Due to Mental Health Claims
The Importance of Demonstrating Reliability and Trustworthiness in Security Clearance Evaluations

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 F · descriptive summary of a decided case

Posture: Decision on RecordDecided: denied

The judge found that the applicant failed to timely file his federal and state income tax returns for multiple tax years, which raised significant financial concerns under Guideline F. The applicant's failure to mitigate these concerns resulted in a decision against him regarding his security clearance eligibility.

¶	Allegation	Finding	Type	Response	Disqualifying (¶19)	Mitigating applied (¶20)	Mitigation
1.a	Applicant failed to timely file his federal and state income tax returns for the tax years 2012, 2013, 2016, 2017, 2018, and 2019.	Against Applicant	Tax Filing Failure	Admitted	(f) failure to file / fraudulent filing of tax returns or unpaid tax	—	—

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

Full decision

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