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ISCR Case 03-13820.h2 — CASE

ISCR Case 03-13820.h2denied

Case Headnote

ISCR Case No. 03-13820.h2

deniedOct 27, 2005· Hon. Charles D. Ablard· hearing

Summary

A 53-year-old defense contractor was denied a security clearance under Guideline J (Criminal Conduct) due to two armed robbery convictions at age 21. He served three years and six months in prison for these offenses.

Despite significant evidence of rehabilitation, including an exemplary life since his release and extensive community service with a national agency focused on youth rehabilitation, the clearance was denied. The applicant demonstrated a profound change in attitude and conduct following his incarceration.

However, the denial was mandated by law, specifically 10 U.S.C. 986, because his incarceration exceeded one year. This legal requirement necessitated an adverse finding, overriding the mitigating factors presented, such as the passage of time, the infrequent nature of the conduct, and the applicant's positive post-conviction behavior.

Why the Applicant Was Denied

Applicant was convicted of a serious crime and sentenced to more than one year in prison, which disqualifies him under 10 U.S.C. 986.
The law requires an adverse finding due to the length of incarceration, despite evidence of rehabilitation.

Conditions Referenced

Disqualifying

DC 2appliedCriminal Conduct

Mitigating

MC 1appliedThe Conduct Was Not Recent
MC 2appliedThe Crime Was an Isolated Incident
MC 4appliedFactors Leading to the Violations Are Not Likely to Recur
MC 5appliedThere Is Clear Evidence of Successful Rehabilitation

Key Rule Quoted

“"[N]o one has a 'right' to a security clearance."”
— Department of the Navy v. Egan, 484 U.S. 518, 528 (1988)

Procedural Posture

SOR issuedDec 31, 2003
Answer filedJan 28, 2004
Hearing heldJun 22, 2004
Decision dateOct 27, 2005

Cite For

Disqualification Due to Conviction and Sentence Exceeding One Year Under 10 U.S.C. 986
Consideration of Rehabilitation in Security Clearance Determinations
Application of the Whole Person Concept in Evaluating an Applicant's Trustworthiness

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 J (Criminal Conduct) · descriptive summary of a decided case

Posture: Decision on RecordDecided: denied

Bond Amendment: the decision notes incarceration over one year or a dishonorable discharge — a statutory bar to SCI / Special Access / Restricted Data eligibility absent a waiver.

The judge found against the applicant regarding criminal conduct due to his past convictions for armed robbery, which resulted in a sentence of more than one year. Although the applicant demonstrated significant rehabilitation and had led an exemplary life since his release, the law required an adverse finding because of the length of his incarceration. Therefore, the security clearance was denied.

¶	Allegation	Finding	Offense	Criminal disposition	Response	Disqualifying (¶31)	Mitigating applied (¶32)	Mitigation
1.a	Applicant was arrested and convicted of two armed robberies when he was 21 years old and served three years and six months in confinement.	For Applicant	Unspecified Criminal Conduct	Convicted	Admitted	(a) pattern of minor offenses casting doubt on judgment/reliability	(a) so much time has passed, or unusual circumstances, that it is unlikely to recur (b) pressured/coerced and unlikely to recur absent that pressure (d) evidence of successful rehabilitation (time, restitution, employment, etc.) (c) no reliable evidence the individual committed the offense	—
1.b	While in prison, Applicant realized the foolishness of his ways, changed his attitudes and conduct, and that has been the model for his life.	For Applicant	Unspecified Criminal Conduct	Conduct No Charge	Admitted	—	(a) so much time has passed, or unusual circumstances, that it is unlikely to recur (b) pressured/coerced and unlikely to recur absent that pressure (d) evidence of successful rehabilitation (time, restitution, employment, etc.) (c) no reliable evidence the individual committed the offense	Credited Rehabilitation Evidence
1.c	Since his confinement, Applicant has led an exemplary life working with a national community service agency on rehabilitation of young persons.	For Applicant	Unspecified Criminal Conduct	Conduct No Charge	Admitted	—	(a) so much time has passed, or unusual circumstances, that it is unlikely to recur (b) pressured/coerced and unlikely to recur absent that pressure (d) evidence of successful rehabilitation (time, restitution, employment, etc.) (c) no reliable evidence the individual committed the offense	Credited Rehabilitation Evidence
1.d	The law requires that the finding must be adverse since he was incarcerated for more than one year.	Against Applicant	Unspecified Criminal Conduct	Conduct No Charge	Denied	(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

SYNOPSIS

KEYWORD: Criminal Conduct

DIGEST: Applicant is a 53-year-old employee of a defense contractor who was arrested and convicted of two armed robberies when he was 21 years old and served three years and six months in confinement. While in prison, Applicant realized the foolishness of his ways, changed his attitudes and conduct, and that has been the model for his life. Since his confinement, Applicant has led an exemplary life working with a national community service agency on rehabilitation of young persons. Applicant has held a security clearance since 1989. However, the law requires that the finding must be adverse since he was incarcerated for more than one year. I recommend further consideration of this case for a waiver of 10 U.S.C. 986 and am joined by the government in that recommendation. Clearance is denied.

CASENO: 03-13820.h2

DATE: 10/27/2005

DATE: October 27, 2005

In Re:

-------------------

SSN: -----------

Applicant for Security Clearance

ISCR Case No. 03-13820

REMAND DECISION OF ADMINISTRATIVE JUDGE

CHARLES D. ABLARD

APPEARANCES

SYNOPSIS

Applicant is a 53-year-old employee of a defense contractor who was arrested and convicted of two armed robberies when he was 21 years old and served three years and six months in confinement. While in prison, Applicant realized the foolishness of his ways, changed his attitudes and conduct, and that has been the model for his life. Since his confinement, Applicant has led an exemplary life working with a national community service agency on rehabilitation of young persons. Applicant has held a security clearance since 1989. However, the law requires that the finding must be adverse since he was incarcerated for more than one year. I recommend further consideration of this case for a waiver of 10 U.S.C. 986 and am joined by the government in that recommendation. Clearance is denied.

STATEMENT OF CASE

On December 31, 2003, the Defense Office of Hearings and Appeals (DOHA) pursuant to Executive Order 10865, Safeguarding Classified Information Within Industry, as amended and modified, and Department of Defense Directive 5220.6, Defense Industrial Personnel Security Clearance Review Program (Directive), dated January 2, 1992, as amended and modified, issued a Statement of Reasons (SOR) to Applicant which detailed reasons why DOHA could not make the preliminary affirmative finding under the Directive that it is clearly consistent with the national interest to grant or continue a security clearance for Applicant. DOHA recommended the case be referred to an administrative judge to determine whether a clearance should be granted, continued, denied, or revoked.

On January 28, 2004, Applicant, in a sworn written statement, responded to the allegations set forth in the SOR, and requested a hearing. The case was assigned to me on May 12, 2004. A notice of hearing was issued on June 15, 2004. A hearing was held on June 22, 2004. The Government introduced two exhibits. The Applicant introduced seven exhibits with sub-parts to each. All of the exhibits were admitted into evidence. The Applicant was the only witness. The transcript was received on July 1, 2003. I issued a decision on October 19, 2004, concluding that the provisions of 10 U.S.C. 986 and the implementing regulations precluded a finding for Applicant because of his conviction and sentence to more than one year in jail. I recommended further consideration of the case for a waiver under the provisions of DOHA Operating Instruction No. 64 ¶ 3.e (July 10, 2001). The Director, DOHA, declined to recommend a waiver. In 2004, Section 986 was amended by Section 1062 of the National Defense Authorization Act for Fiscal Year 2005 limiting the prohibition on granting security clearances to those who are not only convicted and sentenced to more than one year but who were incarcerated as a result of the conviction for at least one year. Applicant appealed to the Appeal Board on November 20, 2004, and the matter was remanded to me on August 9, 2005, to take additional evidence, to issue a new decision consistent with the Directive, and to determine if Section 1062 has any effect on Applicant's case. I issued an order on September 6, 2005, giving an opportunity to both Applicant and the government to submit additional evidence.

FINDINGS OF FACT

After a complete review of the evidence in the record and upon due consideration of the record, the following findings of fact are made:

Applicant is a 53-year-old employee if a defense contractor who was arrested and convicted of armed robberies in two different counties in 1971 when he was 21 years old and sentenced to a total of 5 to 12 years of confinement. He served three years in one county and six months in another.

The crimes were the result of falling in with a bad crowd who were committing robberies. He joined them on two robberies in two counties. No one was injured in either robbery and Applicant was the

only one of the group who was apprehended and tried. He pled guilty. While in prison, Applicant realized the foolishness of his transgressions and changed his attitudes and conduct, and that has been the model for his life since then. He studied in prison, obtained skills, and received recommendations from the prison supervisors to shorten his sentence.

Since his confinement, Applicant has led an exemplary life working with a national community service agency on rehabilitation of young persons. In 1985 he was named the organization's outstanding young man of the year. Applicant and his wife have taken in 27 foster children over the years and are active in community affairs. Applicant is highly regarded by his employer and has received numerous corporate and civic awards as illustrated in his lengthy exhibits. He held a security clearance since 1989 with no security violations. Pursuant to my Order of September 6, 2005, both Applicant and Department Counsel submitted additional evidence. Applicant related his loss of employment and inability to find meaningful employment as a result of the loss of his security clearance. Department Counsel noted that Applicant's conduct since his conviction in 1971 presents a compelling case for the grant of a waiver.

POLICIES

"[N]o one has a 'right' to a security clearance." Department of the Navy v. Egan, 484 U.S. 518, 528 (1988). As Commander in Chief, the President has "the authority to control access to information bearing on national security and to determine whether an individual is sufficiently trustworthy to occupy a position that will give that person access to such information." Id. at 527.

An evaluation of whether the applicant meets the security guidelines includes consideration of the following factors: (1) the nature, extent, and seriousness of the conduct; (2) the circumstances surrounding the conduct; (3) the frequency and recency of the conduct; (4) the individual's age and maturity at the time of the conduct; (5) the voluntariness of participation; (6) the presence or absence of rehabilitation and other 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. Directive, ¶ E2.2.1. Security clearances are granted only when "it is clearly consistent with the national interest to do so." Executive Order No. 10865 § 2. See Executive Order No. 12968 § 3.1(b).

Initially, the Government must establish, by something less than a preponderance of the evidence, that conditions exist in the personal or professional history of the applicant which disqualify, or may disqualify, the applicant from being eligible for access to classified information See Egan, 484 U.S. at 531. The applicant then bears the burden of demonstrating that it is clearly consistent with the national interest to grant or continue the applicant's clearance. "Any doubt as to whether access to classified information is clearly consistent with national security will be resolved in favor of the national security." Directive, ¶ E2.2.2. "[S]ecurity clearance determinations should err, if they must, on the side of denials." Egan, 484 U.S. at 531. See Executive Order No. 12968 § 3.1(b)

CONCLUSION

Upon consideration of all the facts in evidence, and after application of all appropriate legal precepts, factors and conditions above, I conclude the following with respect to all allegations set forth in the SOR:

Based on the evidence of record, including Applicant's admissions, the Government established reasons to deny him a security clearance because of criminal conduct. The applicable Disqualifying Condition Criminal Conduct (DC) 2 is applies to Applicant in that he was convicted of a serious crime and sentenced to a five year term in prison. Having established such reasons, the Applicant has the burden to establish security suitability through evidence which refutes, mitigates, or extenuates the disqualification and demonstrates that it is clearly consistent with the national interest to grant a security clearance. ISCR Case No. 99-0424 (App. Bd. Feb. 8, 2001). Applicant's criminal conduct is mitigated by Mitigating Conditions (MC) l, the conduct was not recent; 2, the crime was an isolated incident; 4 the factors leading to the violations are not likely to recur; and 5, there is clear evidence of successful rehabilitation.

Having observed Applicant at the hearing, I conclude he is a person of serious demeanor who has been totally rehabilitated since his release from prison. He is an active member of his community. He receives credit under the whole person concept for long and continuous service to his community and dedication to work with others who might be in a similar position as he was as a young man. The record is replete with documentation of his accomplishments and honors since his release from prison.

The record in this matter is confusing in that the reports indicate several more offenses than occurred since transfers of confinement facilities are reported as if they were the product of additional offenses. Applicant has clarified this to my satisfaction. He is completely rehabilitated and has not had any legal difficulties since his release from prison in 1975. He has a stable marriage of 25 years. His employment record is impressive having been recognized on numerous occasions for service to his company and country.

In all adjudications the protection of our national security is of paramount concern. Persons who have access to classified information have an overriding responsibility for the security concerns of the nation. The objective of the security clearance process is the fair-minded, commonsense assessment of a person's trustworthiness and fitness for access to classified information. The "whole person" concept recognizes that we should view a person by the totality of their acts and omissions. Each case must be judged on its own merits taking into consideration all relevant circumstances, and applying sound judgment, mature thinking, and careful analysis.

The provisions of 10 U.S.C. 986 and the implementing regulations are unequivocal that a person is disqualified from holding a security clearance if convicted of a crime and sentenced to more than one year of imprisonment. Although that provision has been amended to require incarceration of one year for disqualification from holding a security clearance , and that amendment is applicable to Applicant since he did serve more than one year, a waiver is still required for obtaining a security clearance. Thus, the only relief available to Applicant is through a waiver by the Secretary of Defense so I must find against the Applicant. However, applying the whole person concept to Applicant's case, I believe that he has successfully been rehabilitated and is worthy of future trust by the government. I adhere to my original recommendation, and conclude that a compelling case has been made for the grant of a waiver in this matter so that his security clearance can be restored. Applicant has made a most compelling case for rehabilitation and qualification for a waiver. His case is bolstered by the recommendation for a waiver from Department Counsel.

In view of the continued applicability of Section 986, I must conclude that he is not eligible for access to classified information absent a waiver. Thus, I find against the Applicant.

FORMAL FINDINGS

Formal findings as required by the Directive (Par. E3.1.25) are as follows:

Paragraph 1. Guideline J: AGAINST APPLICANT

Subparagraph 1.a.: For Applicant

Subparagraph 1.b.: For Applicant

Subparagraph 1.c.: For Applicant

Subparagraph 1.d.: Against Applicant

DECISION

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 or renew a security clearance for Applicant. The provisions of 10 U.S.C. 986 and the implementing regulations preclude such a finding because of Applicant's conviction, sentence, and the period of time served. However, I adhere to my original recommendation for further consideration of the case for a waiver under 10 U.S.C. 986. Clearance is denied. Charles D. Ablard

Administrative Judge

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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

FINDINGS OF FACT

POLICIES

CONCLUSION

FORMAL FINDINGS

DECISION

FOOTNOTES