ISCR Case 03-13853.h1

Case Headnote

ISCR Case No. 03-13853.h1

deniedJan 11, 2005· Hon. Kathryn Moen Braeman· hearing

Summary

A 37-year-old defense contractor was denied a security clearance due to concerns under Guidelines E (Personal Conduct), F (Financial Considerations), and J (Criminal Conduct). The applicant had a history of misdemeanor criminal conduct, including multiple arrests and convictions for traffic offenses, such as driving with a suspended license and driving under the influence. Notably, he was arrested for falsely identifying himself as a peace officer in 1994, resulting in a 30-day jail sentence. Despite some efforts, such as obtaining a valid driver's license in 2002 and completing a driving program, a pattern of legal disregard and uncompleted programs persisted.

Financially, the applicant had significant unresolved debts. These included a federal tax lien exceeding $12,000 and two state tax liens totaling close to $4,000. He also had two collection accounts for $459, an unresolved debt of $500 in unpaid fines, and $262 for telephone charges. While he initiated a $200 monthly payment plan for his federal tax debt and made $220 monthly payments for a state tax lien that expired in 2004, other debts remained unaddressed. His wife also acknowledged a $221 department store debt, promising to resolve it.

Ultimately, the denial was based on the applicant's demonstrated pattern of criminal conduct, insufficient evidence of rehabilitation despite a long history of legal disregard, and ongoing financial irresponsibility, which collectively raised significant security concerns.

Why the Applicant Was Denied

The applicant demonstrated a pattern of criminal conduct, including multiple arrests and a conviction for driving with a suspended license.
He failed to provide sufficient evidence of rehabilitation despite a long history of disregard for the law.
Unresolved debts and financial irresponsibility raised significant security concerns.

Conditions Referenced

Disqualifying

J1raisedCriminal Conduct
J2raisedCriminal Conduct
F1raisedFinancial Considerations
F3raisedFinancial Considerations
E5raisedPersonal Conduct

Mitigating

J1rejectedCriminal ConductThe applicant's criminal behavior was not recent, but the pattern of offenses created a heavy burden.
F2appliedFinancial ConsiderationsThe applicant initiated a good-faith effort to repay overdue creditors.
F6rejectedFinancial ConsiderationsThe applicant provided no evidence of financial counseling.

Key Rule Quoted

“The responsibility for producing evidence initially falls on the Government to demonstrate that it is not clearly consistent with the national interest to grant or continue Applicant's access to classified information.”

Procedural Posture

SOR issuedMar 29, 2004
Answer filedApr 26, 2004Notarized response.
Hearing held—Requested decision without a hearing.
Decision dateJan 11, 2005

Cite For

Pattern of Criminal Conduct Under Guideline J
Financial Irresponsibility Under Guideline F
Personal Conduct Issues Under Guideline E

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
3.a	specific text not stated in this decision	Against Applicant	Unspecified Personal Conduct	—	Unknown	—	—	—

Allegation

Finding

Conduct

Concealed Issue

Response

Disqualifying (¶16)

Mitigating applied (¶17)

Mitigation

3.a

specific text not stated in this decision

Against Applicant

Unspecified Personal Conduct

—

Unknown

—

¶	Allegation	Finding	Type	Response	Disqualifying (¶19)	Mitigating applied (¶20)	Mitigation
2.a	Applicant confirmed delinquent financial information concerning a federal tax lien of over $12,000 and two state tax liens totaling close to $4,000; he also had two collection accounts with a creditor totaling $459. $12,000	Against Applicant	Tax Unpaid	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—
2.b	Applicant had two state tax liens totaling close to $4,000; he also had two collection accounts with a creditor totaling $459. $4,000	Against Applicant	Unspecified Financial	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—
2.c	Applicant established that he made monthly payments of $220 starting in July 2002 to resolve the state tax lien which expired in November 2004 as it was not extended after being in effect for ten years. $220	For Applicant	Tax Filing Failure	Admitted	—	(f) the affluence resulted from a legal source	—
2.d	Applicant established he made an agreement to make $200 monthly payments to resolve his federal tax debt. $200	For Applicant	Tax Filing Failure	Admitted	—	(f) the affluence resulted from a legal source	—
2.e	Applicant's wife acknowledged that the $221 debt to a department store in collection since October 1994 is her debt, and she would resolve it in 60 days. $221	For Applicant	Unspecified Financial	Admitted	—	(f) the affluence resulted from a legal source	—
2.f	Applicant still has an unresolved debt to Creditor #1 for $500 in unpaid fines and owes another creditor $262 for telephone charges. $500	For Applicant	Unspecified Financial	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—
2.g	Applicant provided no evidence on having resolved his debt to Creditor #1 for two debts or to another creditor for a telephone debt. $262	Against Applicant	Unspecified Financial	Admitted	(a) inability to satisfy debts (c) a history of not meeting financial obligations	—	—

Allegation

Finding

Type

Response

Disqualifying (¶19)

Mitigating applied (¶20)

Mitigation

2.a

Applicant confirmed delinquent financial information concerning a federal tax lien of over $12,000 and two state tax liens totaling close to $4,000; he also had two collection accounts with a creditor totaling $459.

$12,000

Against Applicant

Tax Unpaid

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

2.b

Applicant had two state tax liens totaling close to $4,000; he also had two collection accounts with a creditor totaling $459.

$4,000

Against Applicant

Unspecified Financial

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

2.c

Applicant established that he made monthly payments of $220 starting in July 2002 to resolve the state tax lien which expired in November 2004 as it was not extended after being in effect for ten years.

$220

For Applicant

Tax Filing Failure

Admitted

—

(f) the affluence resulted from a legal source

—

2.d

Applicant established he made an agreement to make $200 monthly payments to resolve his federal tax debt.

$200

For Applicant

Tax Filing Failure

Admitted

—

(f) the affluence resulted from a legal source

—

2.e

Applicant's wife acknowledged that the $221 debt to a department store in collection since October 1994 is her debt, and she would resolve it in 60 days.

$221

For Applicant

Unspecified Financial

Admitted

—

(f) the affluence resulted from a legal source

—

2.f

Applicant still has an unresolved debt to Creditor #1 for $500 in unpaid fines and owes another creditor $262 for telephone charges.

$500

For Applicant

Unspecified Financial

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

2.g

Applicant provided no evidence on having resolved his debt to Creditor #1 for two debts or to another creditor for a telephone debt.

$262

Against Applicant

Unspecified Financial

Admitted

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

—

¶	Allegation	Finding	Offense	Criminal disposition	Response	Disqualifying (¶31)	Mitigating applied (¶32)	Mitigation
1.a	After Applicant completed the driving program in May 2002, he applied for and received his driver's license in June 2002. He has a current driver's license issued in October 2004, a valid motor vehicle registration card, and valid insurance. (Exhibit 10; Exhibit A)	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	—	—
1.b	In June 2000 he was arrested and charged with three traffic counts; he pled guilty to Driving When Privileges are Suspended and was fined $100. (SOR 1.b.) He received three years unsupervised probation and was ordered to sign up for the program he had not completed in 1993. (Exhibit 10)	Against Applicant	Traffic Offense Pattern	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—
1.c	In June 1994 he was arrested and charged with two traffic counts and in August 1994 failed to appear in court and a bench warrant was ordered and issued in August 1994. In August 1999 the warrant was purged unserved and the case dismissed. (SOR 1.c)	For Applicant	Unspecified Criminal Conduct	Dismissed or Nolle Prossed	Unknown	—	—	—
1.d	In February 1994 he was arrested and charged with falsely identifying himself as a peace officer. In June 1994 he pled guilty and was sentenced to 30 days in jail and was given credit for time served in custody. (SOR 1.d)	For Applicant	Fraud or Deception Criminal	Convicted	Unknown	—	—	—
1.e	In February 1993 he was arrested and charged with four counts; he plead guilty to two counts, Driving with Measurable Amount of Alcohol in Blood and Driving with Suspended License and the remaining charges were dismissed. He was sentenced to pay at $1,350 fine with credit of $400 for time served in custody; he was sentenced to serve five days in jail with credit for time served and fined $500; he was given an 18 months First Conviction Program for Driving with Suspended License. (SOR 1.e.) However, he never completed this program. (Exhibit 10)	For Applicant	DUI or DWI Criminal	Convicted	Unknown	—	—	—
1.f	In January 1993 he was arrested and charged with Driver's License Suspended or Revoked. He pled guilty and was sentenced to three years summary probation, eight days confinement and fined $1,351. In July 1995 probation was revoked and a warrant issued; in July 2000 the warrant was purged unserved; and his probation was reinstated and terminated. (SOR 1.f)	For Applicant	Traffic Offense Pattern	Convicted	Unknown	—	—	—
1.g	In September 1992 he was arrested for three counts; he pled guilty to Driver's License Suspended or Revoked in a plea bargain and was sentenced to three years summary probation and fined $811. In July 1995 probation was revoked and a warrant issued; in July 2000 the warrant was purged unserved; and his probation was reinstated and terminated. (SOR 1.g)	For Applicant	Traffic Offense Pattern	Convicted	Unknown	—	—	—
1.h	In June 1991 he was arrested and charged with three counts; he pled built to being an unlicensed driver and was sentenced to three years summary probation and fined $300. In May 1992 he did not comply with the public service given in lieu of fine; his probation was revoked and a warrant issued. In October 1992 his probation was reinstated and modified. (SOR 1.h)	For Applicant	Traffic Offense Pattern	Convicted	Unknown	—	—	—
1.i	In June 1991 he was issued two citations and failed to appear on February 1993, so a warrant was issued in July 1994: Count I, the open alcoholic container count was dismissed with a $50 fine; Count II was dismissed. (SOR 1.i.)	For Applicant	Unspecified Criminal Conduct	Dismissed or Nolle Prossed	Unknown	—	—	—
1.j	In March 1990 he was arrested and charged with assault. (SOR 1.j.)	For Applicant	Assault or Battery	Charged Not Convicted	Unknown	—	—	—
1.k	In December 1989 he was convicted of Driving Under the Influence of Alcohol and/or Drug (DUIA) and placed on summary probation for three years, fined $964, and sentenced to 48 hours confinement. (SOR 1.k.)	For Applicant	DUI or DWI Criminal	Convicted	Unknown	—	—	—

Allegation

Finding

Offense

Criminal disposition

Response

Disqualifying (¶31)

Mitigating applied (¶32)

Mitigation

1.a

After Applicant completed the driving program in May 2002, he applied for and received his driver's license in June 2002. He has a current driver's license issued in October 2004, a valid motor vehicle registration card, and valid insurance. (Exhibit 10; Exhibit A)

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

—

1.b

In June 2000 he was arrested and charged with three traffic counts; he pled guilty to Driving When Privileges are Suspended and was fined $100. (SOR 1.b.) He received three years unsupervised probation and was ordered to sign up for the program he had not completed in 1993. (Exhibit 10)

Against Applicant

Traffic Offense Pattern

Convicted

Denied

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

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

—

1.c

In June 1994 he was arrested and charged with two traffic counts and in August 1994 failed to appear in court and a bench warrant was ordered and issued in August 1994. In August 1999 the warrant was purged unserved and the case dismissed. (SOR 1.c)

For Applicant

Unspecified Criminal Conduct

Dismissed or Nolle Prossed

Unknown

—

1.d

In February 1994 he was arrested and charged with falsely identifying himself as a peace officer. In June 1994 he pled guilty and was sentenced to 30 days in jail and was given credit for time served in custody. (SOR 1.d)

For Applicant

Fraud or Deception Criminal

Convicted

Unknown

—

1.e

In February 1993 he was arrested and charged with four counts; he plead guilty to two counts, Driving with Measurable Amount of Alcohol in Blood and Driving with Suspended License and the remaining charges were dismissed. He was sentenced to pay at $1,350 fine with credit of $400 for time served in custody; he was sentenced to serve five days in jail with credit for time served and fined $500; he was given an 18 months First Conviction Program for Driving with Suspended License. (SOR 1.e.) However, he never completed this program. (Exhibit 10)

For Applicant

DUI or DWI Criminal

Convicted

Unknown

—

1.f

In January 1993 he was arrested and charged with Driver's License Suspended or Revoked. He pled guilty and was sentenced to three years summary probation, eight days confinement and fined $1,351. In July 1995 probation was revoked and a warrant issued; in July 2000 the warrant was purged unserved; and his probation was reinstated and terminated. (SOR 1.f)

For Applicant

Traffic Offense Pattern

Convicted

Unknown

—

1.g

In September 1992 he was arrested for three counts; he pled guilty to Driver's License Suspended or Revoked in a plea bargain and was sentenced to three years summary probation and fined $811. In July 1995 probation was revoked and a warrant issued; in July 2000 the warrant was purged unserved; and his probation was reinstated and terminated. (SOR 1.g)

For Applicant

Traffic Offense Pattern

Convicted

Unknown

—

1.h

In June 1991 he was arrested and charged with three counts; he pled built to being an unlicensed driver and was sentenced to three years summary probation and fined $300. In May 1992 he did not comply with the public service given in lieu of fine; his probation was revoked and a warrant issued. In October 1992 his probation was reinstated and modified. (SOR 1.h)

For Applicant

Traffic Offense Pattern

Convicted

Unknown

—

1.i

In June 1991 he was issued two citations and failed to appear on February 1993, so a warrant was issued in July 1994: Count I, the open alcoholic container count was dismissed with a $50 fine; Count II was dismissed. (SOR 1.i.)

For Applicant

Unspecified Criminal Conduct

Dismissed or Nolle Prossed

Unknown

—

1.j

In March 1990 he was arrested and charged with assault. (SOR 1.j.)

For Applicant

Assault or Battery

Charged Not Convicted

Unknown

—

1.k

In December 1989 he was convicted of Driving Under the Influence of Alcohol and/or Drug (DUIA) and placed on summary probation for three years, fined $964, and sentenced to 48 hours confinement. (SOR 1.k.)

For Applicant

DUI or DWI Criminal

Convicted

Unknown

—

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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

SYNOPSIS

APPEARANCES

STATEMENT OF CASE

FINDINGS OF FACT

POLICIES

CONCLUSION

FORMAL FINDINGS

DECISION

FOOTNOTES