ISCR Case 03-01542.h1

Case Headnote

ISCR Case No. 03-01542.h1

deniedNov 24, 2003· Hon. Barry M. Sax· hearing

Summary

A 41-year-old plant protection officer was denied a security clearance due to concerns under Guideline E (Personal Conduct), Guideline F (Financial Considerations), and Guideline J (Criminal Conduct). The denial stemmed from unresolved financial issues, multiple alcohol-related arrests, and significant falsifications on his security clearance application and during interviews.

The applicant had a Chapter 13 bankruptcy petition dismissed in 1997 and owed delinquent taxes to State A, along with approximately 14 other delinquent debts. He failed to disclose the bankruptcy, 12 delinquent debts, and 14 currently delinquent debts on his application. Additionally, he omitted three alcohol-related arrests from his application and during two separate interviews with the Defense Security Service (DSS). These arrests included charges for Driving Under the Influence in July 2000, resulting in a jail sentence and license suspension; another DUI in late 2000 or early 2001, leading to a 10-day jail term; and an Open Alcohol Container charge in September 2002, which resulted in a fine.

Further personal conduct issues included falsifying sworn statements to DSS in October 2000 by failing to disclose his resignation from State A Corrections after a misconduct investigation, and then misrepresenting the circumstances of his departure. The judge found the applicant's explanations for these omissions and misrepresentations lacked credibility, leading to the denial of his security clearance.

Why the Applicant Was Denied

Applicant had significant unresolved financial problems dating back to 1996.
Applicant failed to disclose three alcohol-related arrests on his security clearance application.
Applicant's explanations for his falsifications were deemed not credible.

Conditions Referenced

Disqualifying

F1appliedA History of Not Meeting Financial Obligations
F3appliedInability or Unwillingness to Satisfy Debts
E2appliedDeliberate Omission, Concealment, or Falsification of Relevant and Material Facts
E3appliedDeliberately Providing False or Misleading Information Concerning Relevant and Material Matters
J1appliedAllegations or Admissions of Criminal Conduct
J2appliedA Single Serious Crime or Multiple Lesser Offenses

Key Rule Quoted

“"any doubt as to whether access to classified information is clearly consistent with the interests of national security will be resolved in favor of the nation's security."”
— DoD Directive 5220.6, E2.2.2.

Procedural Posture

SOR issuedMay 11, 2003
Answer filedMay 22, 2003
Hearing heldSep 24, 2003
Decision dateNov 24, 2003

Cite For

Denial Based on Unresolved Financial Issues Under Guideline F
Falsification of Information on Security Clearance Applications Under Guideline E
Pattern of Alcohol-related Criminal Conduct Under Guideline J

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

¶	Allegation	Finding	Conduct	Concealed Issue	Response	Disqualifying (¶16)	Mitigating applied (¶17)	Mitigation
2.a	In response to Question 24. Your Police Record - Alcohol/Drug Offenses, "Have you ever been charged . . . ," Applicant improperly answered "No" and omitted any mention of the July 27, 2000 arrest cited in SOR 3.h.;	Against Applicant	Falsification Security FormFOUND DELIBERATE	Criminal Conduct	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.b	In response to Question 33. Your Financial Record - Bankruptcy, "In the last seven years, have you filed . . . ," Applicant improperly answered "NO" and omitted any mention of the Chapter 13 Bankruptcy cited in SOR 1.a., above;	Against Applicant	Falsification Security FormFOUND DELIBERATE	Other	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.c	In response to Question 38. Your Financial Delinquencies- 180days, "In the last seven years, have you been over days delinquent . . . ," Applicant answered "Yes," cited two debts owed to the Creditor named in SOR 1.i. and 1.m., but improperly omitted any mention of the other 12 delinquent debts cited in SOR 1.a. - 1.h. 1.j. - 1.l, and 1.o.	Against Applicant	Falsification Security FormFOUND DELIBERATE	Other	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.d	In response to Question 39. Your Financial Delinquencies - 90 days, "Are you currently over 90 days delinquent on any debts," Applicant improperly answered "No," and omitted any mention of the 14 delinquent debts cited in SOR 1.a. -1.o.	Against Applicant	Falsification Security FormFOUND DELIBERATE	Other	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.e	Applicant falsified material information in his security clearance interview with DSS on February 9, 2001, when he improperly failed to mention the July 27, 2000 alcohol-related arrest cited in SOR 3.b., below;	Against Applicant	Lack of Candor in InterviewFOUND DELIBERATE	Criminal Conduct	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.f	Applicant falsified his signed sworn statement to DSS of October 7, 2000, when he failed to mention that he had submitted a letter of resignation to State A Corrections authorities after being investigated for misconduct involving prisoners.	Against Applicant	Falsification Security FormFOUND DELIBERATE	Other	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.g	Applicant falsified a second sworn statement provided to DSS on October 7, 2000, after being confronted with the letter cited in 2.f., above, by claiming he had not been advised he was being terminated and failing to disclose he had been asked to resign in lieu of being fired;	Against Applicant	Falsification Security FormFOUND DELIBERATE	Other	Denied	(b) deliberately providing false information to an investigator or official	—	—
2.h	Applicant also falsified material information during his October 7, 2000 interview with DSS by failing to mention the alcohol-related arrest on February 21, 2001, as cited in SOR 3.c.	Against Applicant	Lack of Candor in InterviewFOUND DELIBERATE	Criminal Conduct	Denied	(b) deliberately providing false information to an investigator or official	—	—

Allegation

Finding

Conduct

Concealed Issue

Response

Disqualifying (¶16)

Mitigating applied (¶17)

Mitigation

2.a

In response to Question 24. Your Police Record - Alcohol/Drug Offenses, "Have you ever been charged . . . ," Applicant improperly answered "No" and omitted any mention of the July 27, 2000 arrest cited in SOR 3.h.;

Against Applicant

Falsification Security FormFOUND DELIBERATE

Criminal Conduct

Denied

(b) deliberately providing false information to an investigator or official

—

2.b

In response to Question 33. Your Financial Record - Bankruptcy, "In the last seven years, have you filed . . . ," Applicant improperly answered "NO" and omitted any mention of the Chapter 13 Bankruptcy cited in SOR 1.a., above;

Against Applicant

Falsification Security FormFOUND DELIBERATE

Other

Denied

(b) deliberately providing false information to an investigator or official

—

2.c

In response to Question 38. Your Financial Delinquencies- 180days, "In the last seven years, have you been over days delinquent . . . ," Applicant answered "Yes," cited two debts owed to the Creditor named in SOR 1.i. and 1.m., but improperly omitted any mention of the other 12 delinquent debts cited in SOR 1.a. - 1.h. 1.j. - 1.l, and 1.o.

Against Applicant

Falsification Security FormFOUND DELIBERATE

Other

Denied

(b) deliberately providing false information to an investigator or official

—

2.d

In response to Question 39. Your Financial Delinquencies - 90 days, "Are you currently over 90 days delinquent on any debts," Applicant improperly answered "No," and omitted any mention of the 14 delinquent debts cited in SOR 1.a. -1.o.

Against Applicant

Falsification Security FormFOUND DELIBERATE

Other

Denied

(b) deliberately providing false information to an investigator or official

—

2.e

Applicant falsified material information in his security clearance interview with DSS on February 9, 2001, when he improperly failed to mention the July 27, 2000 alcohol-related arrest cited in SOR 3.b., below;

Against Applicant

Lack of Candor in InterviewFOUND DELIBERATE

Criminal Conduct

Denied

(b) deliberately providing false information to an investigator or official

—

2.f

Applicant falsified his signed sworn statement to DSS of October 7, 2000, when he failed to mention that he had submitted a letter of resignation to State A Corrections authorities after being investigated for misconduct involving prisoners.

Against Applicant

Falsification Security FormFOUND DELIBERATE

Other

Denied

(b) deliberately providing false information to an investigator or official

—

2.g

Applicant falsified a second sworn statement provided to DSS on October 7, 2000, after being confronted with the letter cited in 2.f., above, by claiming he had not been advised he was being terminated and failing to disclose he had been asked to resign in lieu of being fired;

Against Applicant

Falsification Security FormFOUND DELIBERATE

Other

Denied

(b) deliberately providing false information to an investigator or official

—

2.h

Applicant also falsified material information during his October 7, 2000 interview with DSS by failing to mention the alcohol-related arrest on February 21, 2001, as cited in SOR 3.c.

Against Applicant

Lack of Candor in InterviewFOUND DELIBERATE

Criminal Conduct

Denied

(b) deliberately providing false information to an investigator or official

—

¶	Allegation	Finding	Type	Response	Disqualifying (¶19)	Mitigating applied (¶20)	Mitigation
1.a	Applicant petitioned for Chapter 13 bankruptcy in 1996. His petition was dismissed in February 1997, at her request;	Against Applicant	Bankruptcy Filing	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—
1.b	Applicant is indebted to State A for delinquent taxes in the amount of $730.00; $730	Against Applicant	Tax Unpaid	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—
1.c	Except for the debt alleged in 1.m., Applicant is indebted to the creditors listed in the allegations, in the approximate amounts cited in the SOR.	Against Applicant	Unspecified Financial	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—
1.d–1.n	11 sub-charges — specific text not stated in this decision (10 against, 1 for the applicant). (low confidence)	Mixed			—	—	—

Allegation

Finding

Type

Response

Disqualifying (¶19)

Mitigating applied (¶20)

Mitigation

1.a

Applicant petitioned for Chapter 13 bankruptcy in 1996. His petition was dismissed in February 1997, at her request;

Against Applicant

Bankruptcy Filing

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

1.b

Applicant is indebted to State A for delinquent taxes in the amount of $730.00;

$730

Against Applicant

Tax Unpaid

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

1.c

Except for the debt alleged in 1.m., Applicant is indebted to the creditors listed in the allegations, in the approximate amounts cited in the SOR.

Against Applicant

Unspecified Financial

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

1.d–1.n

11 sub-charges — specific text not stated in this decision (10 against, 1 for the applicant). (low confidence)

Mixed

—

¶	Allegation	Finding	Offense	Criminal disposition	Response	Disqualifying (¶31)	Mitigating applied (¶32)	Mitigation
3.a	Each act of falsification cited in paragraph 2, constitutes a violation of 18 U.S.C. 1001;	Against Applicant	Unspecified Criminal Conduct	Conduct No Charge	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—
3.b	Applicant was arrested on July 27, 2000 and charged with (1) Driving Under the Influence of Liquor, (2) Driving Under the Influence with a Blood Alcohol Content Exceeding .10%, and (3) Extreme Driving Under the Influence. He pleaded guilty and was sentenced to 20 days in jail, with 19 days suspended, a fine, ordered to attend alcohol-related classes, and had his driver's license suspended;	Against Applicant	DUI or DWI Criminal	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—
3.c	Applicant was arrested in late 2000 or early 2001, and charged with Driving Under the Influence of Liquor and/or Drugs. He served 10 days in jail, beginning in February 2001;	Against Applicant	DUI or DWI Criminal	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—
3.d	Applicant was charged in September 2002 with (1) Open Alcohol Container and (2) No Proof of Insurance. He was ordered to appear in court on October 25, 2002, to answer these charges. He appeared, and paid a fine of $140 on the Open Container charge.	Against Applicant	Traffic Offense Pattern	Conduct No Charge	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—

Allegation

Finding

Offense

Criminal disposition

Response

Disqualifying (¶31)

Mitigating applied (¶32)

Mitigation

3.a

Each act of falsification cited in paragraph 2, constitutes a violation of 18 U.S.C. 1001;

Against Applicant

Unspecified Criminal Conduct

Conduct No Charge

Denied

(a) pattern of minor offenses casting doubt on judgment/reliability

(b) evidence of criminal conduct, regardless of charge or conviction

—

3.b

Applicant was arrested on July 27, 2000 and charged with (1) Driving Under the Influence of Liquor, (2) Driving Under the Influence with a Blood Alcohol Content Exceeding .10%, and (3) Extreme Driving Under the Influence. He pleaded guilty and was sentenced to 20 days in jail, with 19 days suspended, a fine, ordered to attend alcohol-related classes, and had his driver's license suspended;

Against Applicant

DUI or DWI Criminal

Convicted

Denied

(a) pattern of minor offenses casting doubt on judgment/reliability

(b) evidence of criminal conduct, regardless of charge or conviction

—

3.c

Applicant was arrested in late 2000 or early 2001, and charged with Driving Under the Influence of Liquor and/or Drugs. He served 10 days in jail, beginning in February 2001;

Against Applicant

DUI or DWI Criminal

Convicted

Denied

(a) pattern of minor offenses casting doubt on judgment/reliability

(b) evidence of criminal conduct, regardless of charge or conviction

—

3.d

Applicant was charged in September 2002 with (1) Open Alcohol Container and (2) No Proof of Insurance. He was ordered to appear in court on October 25, 2002, to answer these charges. He appeared, and paid a fine of $140 on the Open Container charge.

Against Applicant

Traffic Offense Pattern

Conduct No Charge

Denied

(a) pattern of minor offenses casting doubt on judgment/reliability

(b) evidence of criminal conduct, regardless of charge or conviction

—

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Case Profile

Summary

Why the Applicant Was Denied

Conditions Referenced

Key Rule Quoted

Procedural Posture

Cite For

Full decision

DEFENSE OFFICE OF HEARINGS AND APPEALS

HEARING

APPEARANCES

STATEMENT OF CASE

FINDINGS OF FACT

POLICIES

CONCLUSION

FORMAL FINDINGS

DECISION

FOOTNOTES