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ISCR Case 03-20035.h1 — CASE

ISCR Case 03-20035.h1denied

Case Headnote

ISCR Case No. 03-20035.h1

deniedAug 13, 2004· Hon. Robert Robinson Gales· hearing

Summary

A 41-year-old defense contractor employee was denied a security clearance due to Guideline J (Criminal Conduct). The denial stemmed from a 1987 felony conviction for aggravated trafficking of cocaine, which resulted in a two-year prison sentence. This conviction occurred when the applicant was 24 years old and involved both cocaine and marijuana abuse.

Although the applicant has maintained a clean record since 1997, the judge determined that the past criminal conduct was disqualifying. Specifically, the applicant's felony conviction for aggravated trafficking of cocaine falls under 10 U.S.C. § 986, which statutorily bars eligibility for a security clearance.

Despite the application of some mitigating conditions, the severity and nature of the criminal conduct, as outlined in the Statement of Reasons, led to the ultimate denial of the security clearance.

Why the Applicant Was Denied

The applicant had a felony conviction for aggravated trafficking of cocaine resulting in a two-year prison sentence.
The applicant's criminal conduct falls under 10 U.S.C. § 986, which disqualifies him from eligibility for a security clearance.

Conditions Referenced

Disqualifying

E2.A10.1.2.1raisedCriminal Conduct Disqualifying Condition
E2.A10.1.2.2raisedCriminal Conduct Disqualifying Condition
E2.A10.1.2.3raisedCriminal Conduct Disqualifying Condition

Mitigating

E2.A10.1.3.1appliedCriminal Conduct Mitigating ConditionThe criminal behavior was not recent.
E2.A10.1.3.2rejectedCriminal Conduct Mitigating ConditionThe crime was not considered an isolated incident.

Key Rule Quoted

“A history or pattern of criminal activity creates doubt about a person's judgment, reliability and trustworthiness.”

Procedural Posture

SOR issuedApr 14, 2004
Answer filedMay 10, 2004Applicant elected to have the case decided on the written record.
Hearing held—No hearing was held.
Decision dateAug 13, 2004

Cite For

Disqualification Under 10 U.S.C. § 986 Due to Felony Conviction
Impact of Past Criminal Conduct on Security Clearance Eligibility
Mitigating Conditions Related to Criminal Conduct Not Being Recent

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

The applicant was found to have a history of criminal conduct, specifically related to drug trafficking and substance abuse. The judge ruled against the applicant on all allegations under Guideline J, citing the applicant's conviction for aggravated trafficking of cocaine and the implications of 10 U.S.C. § 986, which disqualifies him from eligibility for a security clearance.

¶	Allegation	Finding	Offense	Criminal disposition	Response	Disqualifying (¶31)	Mitigating applied (¶32)	Mitigation
1.a	Applicant was a cocaine and marijuana abuser. His 1987 arrest for aggravated trafficking of cocaine, a felony in the third degree--when he was 24 years old--resulted in his conviction and a sentence to serve two years imprisonment.	Against Applicant	Drug Related Criminal Charge	Convicted	Admitted	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction (c) currently on parole or probation	—	—
1.b	specific text not stated in this decision	Against Applicant	Unspecified Criminal Conduct	—	Unknown	—	—	—

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 was a cocaine and marijuana abuser. His 1987 arrest for aggravated trafficking of cocaine, a felony in the third degree--when he was 24 years old--resulted in his conviction and a sentence to serve two years imprisonment. After his release from prison, and until 1997, he continued to use marijuana on an infrequent basis. Although he has a spotless record since 1997, the application of 10 U.S.C. § 986 disqualifies him from eligibility for a security clearance. Clearance is denied. Further consideration of this case for a waiver of 10 U.S.C. § 986 is not recommended.

CASENO: 03-20035.h1

DATE: 08/13/2004

DATE: August 13, 2004

In Re:

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

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

Applicant for Security Clearance

ISCR Case No. 03-20035

DECISION OF ADMINISTRATIVE JUDGE

ROBERT ROBINSON GALES

APPEARANCES

FOR GOVERNMENT

Marc E. Curry, Esquire, Department Counsel FOR APPLICANT

Pro Se

SYNOPSIS

Applicant was a cocaine and marijuana abuser. His 1987 arrest for aggravated trafficking of cocaine, a felony in the third degree--when he was 24 years old--resulted in his conviction and a sentence to serve two years imprisonment. After his release from prison, and until 1997, he continued to use marijuana on an infrequent basis. Although he has a spotless record since 1997, the application of 10 U.S.C. § 986 disqualifies him from eligibility for a security clearance. Clearance is denied. Further consideration of this case for a waiver of 10 U.S.C. § 986 is not recommended.

STATEMENT OF CASE

On April 14, 2004, the Defense Office of Hearings and Appeals (DOHA), pursuant to Executive Order 10865, Safeguarding Classified Information Within Industry, dated February 20, 1960, 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. The SOR 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, and recommended referral to an administrative judge to determine whether a clearance should be granted, continued, denied, or revoked.

In a sworn, written answer, dated May 10, 2004, Applicant responded to the allegations set forth in the SOR, and elected to have his case decided on the written record in lieu of a hearing. Department Counsel submitted the government's written case on July 17, 2004. A complete copy of the file of relevant material (FORM) (1) was provided to Applicant, and he was afforded, until July 17, 2004, an opportunity to file objections and submit material in refutation, extenuation, or mitigation. No further response was made. The case was assigned to me August 10, 2004.

FINDINGS OF FACT

Applicant has admitted the factual allegations (subparagraph 1.a.) pertaining to criminal conduct under Guideline J. Those admissions are incorporated herein as findings of fact. He did not address the conclusory allegation (subparagraph 1.b.), and his silence will be treated as a denial.

After a complete and thorough review of the evidence in the record, and upon due consideration of same, I make the following additional findings of fact:

Applicant is a 41-year-old employee of a defense contractor, and is seeking to obtain a security clearance the level of which has not been divulged.

Applicant was a substance abuser who was involved in a number of drug-related criminal incidents over 16 years ago. During the period from approximately 1983 to December 1987, Applicant used marijuana and cocaine and trafficked in cocaine. (2) He purchased various amounts of cocaine, no more than ½ ounce at a time, from his distributor/wholesaler and, after diluting it, would sell it to others. (3) He was, in his own words, a "retailer." (4) In December 1987, when he was 24 years old, Applicant agreed to meet a regular customer to deliver cocaine. (5) He was arrested on the spot by undercover police and charged with aggravated trafficking, (6) a felony in the third degree. (7) On February 29, 1988, Applicant entered a plea of guilty to the charge and was sentenced to two years confinement. (8)

Applicant continued using marijuana on an infrequent basis from 1989 to about 1997. (9) He has abstained from using cocaine since shortly before his arrest in December 1987--16 years ago--and has abstained from using marijuana since about 1997--seven years ago. (10) He has no future intent to use any illegal drug or narcotic. (11)

He married in April 1987, (12) and has two children. (13)

Applicant is a machinist with the same employer since June 2000. (14) Two supervisors characterize him conscientious and reliable.

POLICIES

Enclosure 2 of the Directive sets forth adjudicative guidelines which must be considered in the evaluation of security suitability. In addition to brief introductory explanations for each guideline, the adjudicative guidelines are divided into those that may be considered in deciding whether to deny or revoke an individual's eligibility for access to classified information (Disqualifying Conditions) and those that may be considered in deciding whether to grant an individual's eligibility for access to classified information (Mitigating Conditions).

An administrative judge need not view the adjudicative guidelines as inflexible ironclad rules of law. Instead, acknowledging the complexities of human behavior, these guidelines, when applied in conjunction with the factors set forth in the Adjudicative Process provision in Section E2.2., Enclosure 2, of the Directive, are intended to assist the administrative judge in reaching fair and impartial common sense decisions.

Because the entire process is a conscientious scrutiny of a number of variables known as the "whole person concept," all available, reliable information about the person, past and present, favorable and unfavorable, should be considered in making a meaningful decision. The Adjudicative Process factors which an administrative judge should consider are: (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 voluntariness of participation; (6) the presence or absence of rehabilitation and other pertinent 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.

Based upon a consideration of the evidence as a whole, I find the following adjudicative guideline most pertinent to an evaluation of the facts of this case:

Criminal Conduct - Guideline J: A history or pattern of criminal activity creates doubt about a person's judgment, reliability and trustworthiness.

Conditions that could raise a security concern and may be disqualifying, as well as those which could mitigate security concerns, pertaining to this adjudicative guideline are set forth and discussed in the conclusions below.

On June 7, 2001, the Deputy Secretary of Defense issued a Memorandum, Implementation of Restrictions on the Granting or Renewal of Security Clearances as Mandated by the Floyd D. Spence National Defense Authorization Act for Fiscal Year 2001. The memorandum provides policy guidance for the implementation of Section 1071 of the Floyd D. Spence National Defense Authorization Act for Fiscal Year 2001, which amended Title 10, United States Code, to add a new section (10 U.S.C. § 986) that precludes the initial granting or renewal of a security clearance by the Department of Defense under specific circumstances. The situation described above involves one of those specific circumstances.

The statutory mandate applies to any DoD officer or employee, officer, director, or employee of a DoD contractor, or member of the Army, Navy, Air Force, or arine Corps on active duty or in an active status, who is under consideration for the issuance or continuation of eligibility for access to classified information and who falls under one or more of the following provisions of the statute:

(1) has been convicted in any court of the United States of a crime and sentenced to imprisonment for a term exceeding one year;

(2) is an unlawful user of, or is addicted to, a controlled substance (as defined in Section 102 of the Controlled Substances Act (21 U.S.C. 802));

(3) is mentally incompetent, as determined by a mental health professional approved by the Department of Defense; or

(4) has been discharged or dismissed from the Armed Forces under dishonorable conditions.

The statute also "provides that the Secretary of Defense and the Secretary of the Military Departments concerned may authorize a waiver of the prohibitions concerning convictions, dismissals and dishonorable discharges from the armed forces in meritorious cases."

Implementing guidance attached to the memorandum indicates that provision 1, described above, "disqualifies persons with convictions in both State and Federal courts, including UCMJ offenses, with sentences imposed of more than one year, regardless of the amount of time actually served."

Since the protection of the national security is the paramount consideration, the final decision in each case must be arrived at by applying the standard the issuance of the clearance is "clearly consistent with the interests of national security," (15) or "clearly consistent with the national interest." For the purposes herein, despite the different language in each, I have concluded both standards are one and the same. In reaching this decision, I have drawn only those conclusions that are reasonable, logical, and based on the evidence contained in the record. Likewise, I have avoided drawing inferences grounded on mere speculation or conjecture.

In the decision-making process, the burden of producing evidence initially falls on the government to establish a case which demonstrates, in accordance with the Directive, it is not clearly consistent with the national interest to grant or continue an applicant's access to classified information. If the government meets its burden, the heavy burden of persuasion then falls upon the applicant to present evidence in refutation, explanation, extenuation or mitigation sufficient to overcome the doubts raised by the government's case, and to ultimately demonstrate it is clearly consistent with the national interest to grant or continue the applicant's clearance.

A person who seeks access to classified information enters into a fiduciary relationship with the government predicated upon trust and confidence. It is a relationship that transcends normal duty hours and endures throughout off-duty hours as well. It is because of this special relationship the government must be able to repose a high degree of trust and confidence in those individuals to whom it grants access to classified information. Decisions under this Directive include, by necessity, consideration of the possible risk an 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 information.

One additional comment is worthy of note. Applicant's allegiance, loyalty, and patriotism are not at issue in these proceedings. Section 7 of Executive Order 10865 specifically provides industrial security clearance decisions shall be "in terms of the national interest and shall in no sense be a determination as to the loyalty of the applicant concerned." Security clearance decisions cover many characteristics of an applicant other than allegiance, loyalty, and patriotism. Nothing in this Decision should be construed to suggest I have based this decision, in whole or in part, on any express or implied decision as to Applicant's allegiance, loyalty, or patriotism.

CONCLUSION

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

The government has established its case under Guideline J. By his own admission, Applicant was involved in criminal behavior in 1987 that resulted in his arrest and conviction. As a result, he was sentenced to two years imprisonment. Applicant's criminal conduct clearly falls within Criminal Conduct Disqualifying Condition (CC DC) E2.A10.1.2.1. (allegations or admissions of criminal conduct, regardless of whether the person was formally charged), CC DC E2.A10.1.2.2. (a single serious crime or multiple lesser offenses), and CC DC E2.A10.1.2.3. (conviction in a Federal or State court, including a court-martial of a crime and sentenced to imprisonment for a term exceeding one year).

It has been over 16 years since that conviction and sentence. The 1987 criminal conduct is not considered recent. And while Applicant continued to abuse marijuana after completing his prison sentence, he has abstained from further substance abuse since 1997 and has apparently turned his life around and avoided further criminal endeavors. Those facts support the application of Criminal Conduct Mitigating Condition (CC MC) E2.A10.1.3.1. (the criminal behavior was not recent). However, I cannot find that his criminal conduct was isolated as set forth in CC MC E2.A10.1.3.2. (the crime was an isolated incident).

A person should not be held forever accountable for misconduct from the past when there is a substantial indication of subsequent reform, remorse, or rehabilitation. However, Applicant's 1987 criminal conduct also falls within 10 U.S.C. § 986. He was convicted in a state court of a crime and sentenced to two years imprisonment--a term which obviously exceeds the one year period envisioned in the law. Consequently, under 10 U.S.C. § 986, I conclude Applicant is not eligible for a security clearance. Accordingly, allegations 1.a. and 1.b. of the SOR are concluded against Applicant.

In this instance, I do not recommend further consideration of this case for a waiver of 10 U.S.C. § 986.

For the reasons stated, I conclude Applicant is not eligible for access to classified information.

FORMAL FINDINGS

Formal findings For or Against Applicant on the allegations set forth in the SOR, as required by Section E3.1.25 of Enclosure 3 of the Directive, are:

Paragraph 1. Guideline J: AGAINST THE APPLICANT Subparagraph 1.a.: Against the Applicant

Subparagraph 1.b.: Against the Applicant

DECISION

In light of all the circumstances presented by the record in this case, it is not clearly consistent with the national interest to grant or continue a security clearance for Applicant. I do not recommend further consideration of this case for a waiver of 10 U.S.C. § 986. Clearance is denied.

________________

Robert Robinson Gales

Chief Administrative Judge

1. The government submitted six items in support of its contentions.

2. Item 6 (Statement of Subject, dated July 30, 2003), at 1.

3. Id., at 1-2.

4. Id., at 1.

5. Id., at 2.

6. Id.

7. Item 5 (Court Record-Journal Entry, dated February 29, 1988).

8. Id.

9. Item 6, supra note 2, at 2.

10. Id., at 1.

11. Id.

12. Item 4 (Security Clearance Application (SF 86), dated December 4, 2001), at 2.

13. Id., at 3. 14. Id., at 1.

15. Exec. Or. 12968, "Access to Classified Information;" as implemented by Department of Defense Regulation 5200.2- R, "Personnel Security Program," dated January 1987, as amended by Change 3, dated November 8, 1995, and further modified by memorandum, dated November 10, 1998. However, the Directive, as amended by Change 4, dated April 20, 1999, uses both "clearly consistent with the national interest" (Sec. 2.3.; Sec.2.5.3.; Sec. 3.2.; and Sec. 4.2.; Enclosure 3, Sec. E3.1.1.; Sec. E3.1.2.; Sec. E3.1.25.; Sec. E3.1.26.; and Sec. E3.1.27.), and "clearly consistent with the interests of national security" (Enclosure 2, Sec. E2.2.3.); and "clearly consistent with national security" (Enclosure 2, Sec. E2.2.2.)

Loading case…

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