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ISCR Case 20-01516 — CASE

ISCR Case 20-01516denied

Case Headnote

ISCR Case No. 20-01516

deniedMar 22, 2022· Hon. Richard A. Cefola· hearing

Summary

A 27-year-old applicant was denied a security clearance due to concerns under Guideline G (Alcohol Consumption) and Guideline J (Criminal Conduct). The denial stemmed from a history of alcohol-related offenses and a diagnosis of Alcohol Use Disorder.

Specifically, the applicant was arrested for and pled guilty to being a Minor in Possession of Alcohol in November 2014. This was followed by a DUI conviction in April 2017 and a second DUI conviction in April 2018. From September 2018 to March 2019, the applicant received treatment for Alcohol Use Disorder but continued to consume alcohol afterward.

The judge found that the applicant's multiple DUI convictions, continued alcohol consumption despite treatment, and denials of certain allegations that were contradicted by evidence, did not mitigate the security concerns. Consequently, the security clearance was denied.

Why the Applicant Was Denied

The applicant had multiple DUI convictions and a diagnosis of Alcohol Use Disorder.
The applicant continued to consume alcohol despite being diagnosed and undergoing treatment.
The applicant's denials of certain allegations were contradicted by evidence.

Conditions Referenced

Disqualifying

AG ¶ 22(a)appliedAlcohol-related Incidents Away From Work
AG ¶ 22(d)appliedDiagnosis of Alcohol Use Disorder
AG ¶ 31(a)appliedPattern of Minor Offenses
AG ¶ 31(b)appliedEvidence of Criminal Conduct

Mitigating

AG ¶ 23(a)rejectedTime Elapsed Since Criminal BehaviorInsufficient time has passed since the applicant's last DUI conviction.
AG ¶ 23(b)rejectedAcknowledgment of Alcohol Use PatternThe applicant did not demonstrate a clear pattern of modified consumption or abstinence.
AG ¶ 23(d)rejectedSuccessful Completion of Treatment ProgramThe applicant did not successfully demonstrate abstinence or compliance with treatment recommendations.

Key Rule Quoted

“Any doubt concerning personnel being considered for national security eligibility will be resolved in favor of the national security.”
— AG ¶ 2(b)

Procedural Posture

SOR issuedJul 23, 2021
Answer filedJul 30, 2021
Hearing held—Decision made on the record without a hearing.
Decision dateMar 22, 2022

Cite For

Security Concerns Related to Alcohol Consumption Under Guideline G
Criminal Conduct Implications Under Guideline J
The Importance of Evidence in Mitigating Security Concerns

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 G (Alcohol Consumption) · descriptive summary of a decided case

Posture: Decision on RecordDecided: deniedAUD DIAGNOSED

The judge found against the applicant on all allegations related to alcohol consumption. The applicant admitted to multiple alcohol-related offenses, including two DUI convictions, but denied receiving treatment for Alcohol Use Disorder and continued alcohol consumption despite treatment. The judge concluded that the applicant did not mitigate the security concerns arising from his alcohol consumption and related criminal conduct.

¶	Allegation	Finding	Incident	Response	Disqualifying (¶22)	Mitigating applied (¶23)	Mitigation
1.a	In November of 2014, he was arrested for and pled guilty to being a Minor in Possession of Alcohol.	Against Applicant	Underage Drinking	Admitted	—	—	—
1.b	In April of 2017, he was, in part, arrested for and convicted of Driving Under the Influence of alcohol (DUI).	Against Applicant	DUI or DWI Alcohol	Admitted	—	—	—
1.c	In April of 2018, he was arrested for and pled guilty to Driving Under the Influence-Second Offense.	Against Applicant	DUI or DWI Alcohol	Admitted	—	—	—
1.d	From September 2018 to March 2019, he received treatment for a condition diagnosed as Alcohol Use Disorder.	Against Applicant	Alcohol Use Disorder Diagnosed	Denied	—	—	—
1.e	He continued to consume alcohol, notwithstanding his treatment noted in subparagraph 1.d.	Against Applicant	Continued Use After Treatment	Denied	—	—	—

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

Standardized Decision Profile

SEAD-4 Guideline J (Criminal Conduct) · descriptive summary of a decided case

Posture: Decision on RecordDecided: denied

The judge found against the applicant regarding the allegations of criminal conduct related to alcohol. The applicant had three alcohol-related convictions, including two DUI offenses, which were not sufficiently mitigated by his claims of treatment and abstinence.

¶	Allegation	Finding	Offense	Criminal disposition	Response	Disqualifying (¶31)	Mitigating applied (¶32)	Mitigation
2.a	He has three alcohol-related convictions.	Against Applicant	DUI or DWI Criminal	Convicted	Admitted	(a) pattern of minor offenses casting doubt on judgment/reliability	—	—

Descriptive standardized rendering of a decided public case (Guideline J). 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. 20-01516 ) ) Applicant for Security Clearance ) Appearances For Government: Dan O’Reilley, Esquire, Department Counsel For Applicant: Pro se March 22, 2022

STATEMENT OF CASE

CEFOLA, Richard A., Administrative Judge: On April 11, 2019, Applicant submitted his Electronic Questionnaire for Investigations Processing (e-QIP). On July 23, 2021, the Department of Defense Consolidated Adjudications Facility (DODCAF) issued Applicant a Statement of Reasons (SOR) detailing security concerns under Guidelines J (Criminal Conduct); and G (Alcohol Consumption). The action was taken under Executive Order 10865, Safeguarding Classified Information within Industry (February 20, 1960), as amended; Department of Defense Directive 5220.6, Defense Industrial Personnel Security Clearance Review Program (January 2, 1992), as amended (Directive); and the Adjudicative Guidelines, effective on June 8, 2017. Applicant answered the SOR on July 30, 2021 (Item 2), and requested a decision on the record without a hearing. Department Counsel submitted the Government’s written case on September 28, 2021. A complete copy of the file of relevant material (FORM) was sent to Applicant, including documents identified as Items 1 through 9. He was given an opportunity to file objections and submit material to refute, extenuate, or mitigate the Government’s evidence. He responded to the FORM (Response) on

November 15, 2021. Items 1 through 9, and Applicant’s Response are admitted into evidence. The case was assigned to me on February 1, 2022.

FINDINGS OF FACT

In his Answer to the SOR Applicant admitted the factual allegations in Subparagraphs 1.a.~1.c. and 2.a. of the SOR, with explanations. He denied the factual allegations in Subparagraphs 1.d. and 1.e. Applicant also provided additional information to support his request for eligibility for a security clearance. Applicant is 27 years old, unmarried, and has no children. (Item 3 at pages 7, and 17–18.) Guideline G: Alcohol Consumption & Guideline J: Criminal Conduct 1.a. and 2.a. Applicant admits that in November of 2014, he was arrested for and pled guilty to being a Minor in Possession of Alcohol. 1.b. and 2.a. Applicant admits that in April of 2017, he was, in part, arrested for and convicted of Driving Under the Influence of alcohol (DUI). As a result of this conviction, Applicant was required to complete court-ordered evaluation and counseling. 1.c. and 2.a. Applicant admits that in April of 2018, he was arrested for and pled guilty to Driving Under the Influence-Second Offense. As a result of this conviction, Applicant was required to complete a court-ordered evaluation and counseling program. 1.d. Applicant denies that, from September 2018 to March 2019, he received treatment for a condition diagnosed as Alcohol Use Disorder. However, this is contradicted by the “Completion Summary” from an “Impaired Driver Program,” dated March 25, 2019, which states Applicant’s “Current Diagnosis: Alcohol Use Disorder, mild, in early remission.” (Item 8 at pages 1–2.) 1.e. Applicant denies that he continued to consume alcohol, notwithstanding his treatment noted in subparagraph 1.d., above. However, this is contradicted by Applicant’s response to interrogatories, dated November 12, 2020, wherein Applicant admits he consumed “2–3” beers on September 29, 2020, about two weeks prior to answering the interrogatories. (Item 4.)

POLICIES

When evaluating an applicant’s suitability for national security eligibility, 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 that “[a]ny 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. Under Directive ¶ E3.1.15, an “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 applying for national security eligibility seeks to enter 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 Executive Order 10865, “[a]ny 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 Executive Order 12968, Section 3.1(b) (listing multiple prerequisites for access to classified or sensitive information.)

ANALYSIS

Guideline G: Alcohol Consumption The security concern relating to the guideline for Alcohol Consumption is set out in AG ¶ 21: 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.

The guideline at AG ¶ 22 contains seven conditions that could raise a security concern and may be disqualifying. Five conditions may apply: (a) 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 the frequency of the individual's alcohol use or whether the individual has been diagnosed with alcohol use disorder; (c) habitual or binge consumption of alcohol to the point of impaired judgment, regardless of whether the individual is diagnosed with alcohol use disorder; (d) 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; (e) the failure to follow treatment advice once diagnosed; and (f) alcohol consumption, which is not in accordance with treatment recommendations, after a diagnosis of alcohol use disorder. Applicant had three alcohol-related incidents between November 2014 and April 2018. He was also diagnosed as suffering from an alcohol use disorder. The guideline at AG ¶ 23 contains four conditions that could mitigate security concerns. Three conditions may apply: (a) so much time has passed, or the behavior was so infrequent, or it happened under such unusual circumstances that it is unlikely to recur or does not cast doubt on the individual's current reliability, trustworthiness, or judgment; (b) the individual acknowledges his or her pattern of maladaptive alcohol use, provides evidence of actions taken to overcome this problem, and has demonstrated a clear and established pattern of modified consumption or abstinence in accordance with treatment recommendations; and (d) the individual has successfully completed a treatment program along with any required aftercare, and has demonstrated a clear and established pattern of modified consumption or abstinence in accordance with treatment recommendations.

Applicant’s last alcohol-related conviction was about four years ago; but despite being diagnosed as suffering from an alcohol use disorder in March of 2019, he still consumed alcohol until at least September of 2020, about 18 months ago. Alcohol Consumption is found against Applicant. Guideline J: Criminal Conduct The security concern relating to the guideline for Criminal Conduct is set out in AG ¶ 30: 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. The guideline at AG ¶ 31 contains five disqualifying conditions that could raise a security concern and may be disqualifying. Two conditions apply, as discussed below: (a) 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; and (b) 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. Applicant has three alcohol-related convictions. This evidence raises security concerns under these disqualifying conditions, thereby shifting the burden to Applicant to rebut, extenuate, or mitigate those concerns. The guideline in AG ¶ 32 contains four conditions that could mitigate criminal conduct security concerns: (a) so much time has elapsed since the criminal behavior happened, or it happened under such unusual circumstances, that it is unlikely to recur and does not cast doubt on the individual's reliability, trustworthiness, or good judgment; (b) the individual was pressured or coerced into committing the act and those pressures are no longer present in the person's life; (c) no reliable evidence to support that the individual committed the offense; and (d) there is evidence of successful rehabilitation; including, but not limited to, the passage of time without recurrence of criminal activity, restitution,

compliance with the terms of parole or probation, job training or higher education, good employment record, or constructive community involvement. Sufficient time has not passed since Applicant’s most recent, 2018, DUI, given the fact that he was previously convicted of a DUI in 2017, and had another alcohol- related conviction in 2014. Criminal Conduct is found against Applicant.

WHOLE PERSON CONCEPT

Under the whole-person concept, the administrative judge must evaluate an applicant’s national security eligibility by considering the totality of the applicant’s conduct and all relevant circumstances. The 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. According to AG ¶ 2(c), the ultimate determination of whether to grant national security eligibility must be an overall commonsense judgment based upon careful consideration of the applicable guidelines and the whole-person concept. I considered the potentially disqualifying and mitigating conditions in light of all the facts and circumstances surrounding this case. Overall, the record evidence leaves me with questions and doubts as to Applicant’s eligibility and suitability for a security clearance. For all these reasons, I conclude Applicant has not mitigated the security concerns arising from his alcohol consumption, and related criminal conduct.

FORMAL FINDINGS

Formal findings for or against Applicant on the allegations set forth in the SOR, as required by ¶ E3.1.25 of Enclosure 3 of the Directive, are: Paragraph 1, Guideline G: AGAINST APPLICANT Subparagraphs 1.a~1.e.: Against Applicant Paragraph 2, Guideline J: AGAINST APPLICANT Subparagraph 2.a: Against Applicant

_________________

CONCLUSION

In light of all of the circumstances presented by the record in this case, it is not clearly consistent with the national interest to grant Applicant national security eligibility for a security clearance. Eligibility for access to classified information is denied. Richard A. Cefola Administrative Judge