ISCR Case 03-23901.h1

Case Headnote

ISCR Case No. 03-23901.h1

deniedNov 30, 2005· Hon. Matthew E. Malone· hearing

Summary

A 40-year-old computer programmer 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 deliberate falsifications on his SF 86 and during a subsequent interview, as well as a history of criminal conduct and financial issues.

Specifically, the applicant deliberately falsified his SF 86 by disclosing only one of his five alcohol- or drug-related arrests and by failing to report his use of illegal drugs, including marijuana and methamphetamine, while on probation in 2001. He also denied other criminal conduct during an interview with a Defense Security Service agent. His criminal history included multiple arrests for assault, disturbing the peace, failing to appear in court, violating a protective order, driving on a suspended license, and three DUI convictions, two of which resulted in jail time and probation.

Financially, the applicant incurred nearly $18,000 in delinquent debt from a furniture store account, a credit card, a car repossession, and an unpaid mortgage portion. While he resolved these debts by filing for Chapter 7 bankruptcy in November 2004, which was discharged in March 2005, the judge ultimately found that his lack of candor and ongoing criminal concerns outweighed his improved financial situation, leading to the denial of his security clearance.

Why the Applicant Was Denied

Applicant deliberately falsified his SF 86 by omitting multiple alcohol- and drug-related arrests.
Applicant provided false information during a sworn statement to a Defense Security Service agent.
Concerns about the applicant's criminal conduct and lack of candor were not mitigated despite improved financial standing.

Conditions Referenced

Disqualifying

E2.A5.1.2.2appliedDeliberate Omission, Concealment, or Falsification of Relevant and Material Facts
E2.A10.1.2.1appliedAllegations or Admission of Criminal Conduct, Regardless of Whether the Person Was Formally Charged
E2.A10.1.2.2appliedA Single Serious Crime or Multiple Lesser Offenses

Mitigating

E2.A6.1.3.3rejectedThe Conditions That Resulted in the Behavior Were Largely Beyond the Person's ControlWhile the applicant's financial issues stemmed from his divorce, this did not mitigate the falsifications.
E2.A10.1.3.1rejectedThe Criminal Behavior Was Not RecentThe applicant's recent falsifications during the security clearance process were significant.
E2.A10.1.3.6rejectedThere Is Clear Evidence of Successful RehabilitationThe applicant's ongoing lack of candor undermined claims of rehabilitation.

Key Rule Quoted

“A person who has access to classified information enters into a fiduciary relationship with the government based on trust and confidence.”
— Department of the Navy v. Egan, 484 U.S. 518 (1988)

Procedural Posture

SOR issuedJan 10, 2005
Answer filed—
Hearing heldAug 18, 2005
Decision dateNov 30, 2005

Cite For

Deliberate Falsification of Security Clearance Application Under Guideline E
Impact of Criminal Conduct on Security Clearance Eligibility Under Guideline J
Financial Issues as a Mitigating Factor Under Guideline F When Not Accompanied by Other Disqualifying Conduct

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	Applicant deliberately falsified his SF 86 by listing only one of his five alcohol- or drug-related arrests, and by failing to disclose his use of illegal drugs.	Against Applicant	Falsification Security FormFOUND DELIBERATE	Criminal Conduct	Denied	(b) deliberately providing false information to an investigator or official (c) credible adverse information across areas supporting a whole-person concern	—	—
2.b	In response to question 27, which asks if the respondent has used illegal drugs in the prior seven years, he answered "no," notwithstanding the fact he had used marijuana and methamphetamine while on probation in 2001.	Against Applicant	Falsification Security FormFOUND DELIBERATE	Drug Involvement	Denied	(b) deliberately providing false information to an investigator or official (c) credible adverse information across areas supporting a whole-person concern	—	—
2.c	Applicant again denied any other criminal conduct other than the 2000 arrest during an interview with a Defense Security Service (DSS) agent.	Against Applicant	Lack of Candor in InterviewFOUND DELIBERATE	Criminal Conduct	Denied	(b) deliberately providing false information to an investigator or official (c) credible adverse information across areas supporting a whole-person concern	—	—

Allegation

Finding

Conduct

Concealed Issue

Response

Disqualifying (¶16)

Mitigating applied (¶17)

Mitigation

2.a

Applicant deliberately falsified his SF 86 by listing only one of his five alcohol- or drug-related arrests, and by failing to disclose his use of illegal drugs.

Against Applicant

Falsification Security FormFOUND DELIBERATE

Criminal Conduct

Denied

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

(c) credible adverse information across areas supporting a whole-person concern

—

2.b

In response to question 27, which asks if the respondent has used illegal drugs in the prior seven years, he answered "no," notwithstanding the fact he had used marijuana and methamphetamine while on probation in 2001.

Against Applicant

Falsification Security FormFOUND DELIBERATE

Drug Involvement

Denied

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

(c) credible adverse information across areas supporting a whole-person concern

—

2.c

Applicant again denied any other criminal conduct other than the 2000 arrest during an interview with a Defense Security Service (DSS) agent.

Against Applicant

Lack of Candor in InterviewFOUND DELIBERATE

Criminal Conduct

Denied

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

(c) credible adverse information across areas supporting a whole-person concern

—

¶	Allegation	Finding	Type	Response	Disqualifying (¶19)	Mitigating applied (¶20)	Mitigation
3.a	Applicant incurred about nearly $18,000 in delinquent debt in the form of a furniture store account $18,000	For Applicant	Unspecified Financial	Unknown	(a) inability to satisfy debts (c) a history of not meeting financial obligations	(c) received/receiving counseling; problem being resolved	—
3.b	Applicant incurred about nearly $18,000 in delinquent debt in the form of a delinquent credit card account	For Applicant	Unspecified Financial	Unknown	(a) inability to satisfy debts (c) a history of not meeting financial obligations	(c) received/receiving counseling; problem being resolved	—
3.c	Applicant incurred about nearly $18,000 in delinquent debt in the form of a remainder after re-sale of a car repossessed for non-payment	For Applicant	Auto Loan Debt	Unknown	(a) inability to satisfy debts (c) a history of not meeting financial obligations	(c) received/receiving counseling; problem being resolved	—
3.d	Applicant incurred about nearly $18,000 in delinquent debt in the form of the unpaid portion of a mortgage loan	For Applicant	Mortgage or Home Loan Debt	Unknown	(a) inability to satisfy debts (c) a history of not meeting financial obligations	(c) received/receiving counseling; problem being resolved	—
3.e	Applicant filed for Chapter 7 bankruptcy protection on November 30, 2004, and was discharged of the aforementioned debts and other liabilities on March 18, 2005	For Applicant	Bankruptcy Filing	Unknown	—	—	—

Allegation

Finding

Type

Response

Disqualifying (¶19)

Mitigating applied (¶20)

Mitigation

3.a

Applicant incurred about nearly $18,000 in delinquent debt in the form of a furniture store account

$18,000

For Applicant

Unspecified Financial

Unknown

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

(c) received/receiving counseling; problem being resolved

—

3.b

Applicant incurred about nearly $18,000 in delinquent debt in the form of a delinquent credit card account

For Applicant

Unspecified Financial

Unknown

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

(c) received/receiving counseling; problem being resolved

—

3.c

Applicant incurred about nearly $18,000 in delinquent debt in the form of a remainder after re-sale of a car repossessed for non-payment

For Applicant

Auto Loan Debt

Unknown

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

(c) received/receiving counseling; problem being resolved

—

3.d

Applicant incurred about nearly $18,000 in delinquent debt in the form of the unpaid portion of a mortgage loan

For Applicant

Mortgage or Home Loan Debt

Unknown

(a) inability to satisfy debts

(c) a history of not meeting financial obligations

(c) received/receiving counseling; problem being resolved

—

3.e

Applicant filed for Chapter 7 bankruptcy protection on November 30, 2004, and was discharged of the aforementioned debts and other liabilities on March 18, 2005

For Applicant

Bankruptcy Filing

Unknown

—

¶	Allegation	Finding	Offense	Criminal disposition	Response	Disqualifying (¶31)	Mitigating applied (¶32)	Mitigation
1.a	Applicant was arrested for assault; however, there is no other available information about this charge and Applicant has no memory of the event.	For Applicant	Assault or Battery	—	Denied	—	—	—
1.b	Applicant was arrested in July 1997, and charged with disturbing the peace. He pled guilty and paid a fine plus court costs.	Against Applicant	Unspecified Criminal Conduct	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability	—	—
1.c	In September 1998, Applicant pled guilty to failing to appear in court.	Against Applicant	Unspecified Criminal Conduct	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability	—	—
1.d	In July 1999, Applicant was charged with violating a protective order his ex-wife had obtained against him during their divorce. This charge was eventually dismissed.	Against Applicant	Domestic Violence	Dismissed or Nolle Prossed	Denied	—	—	—
1.e	In May 2000, Applicant was cited for driving on a suspended license and not having a valid registration. The charges were dismissed.	For Applicant	Traffic Offense Pattern	Dismissed or Nolle Prossed	Denied	—	—	—
1.f	Applicant has been arrested three times and charged with driving under the influence of alcohol (DUI). In November 2000, he was convicted of the charge, sentenced to 30 days in jail, and placed on probation for one year.	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	—	—
1.g	In February 2001, Applicant was charged with disturbing the peace and destruction of property. After pleading guilty, he was sentenced to one year probation, fined and assessed court costs, and ordered to pay restitution.	Against Applicant	Vandalism or Property Damage	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—
1.h	In April 2001, Applicant pleaded guilty to a second DUI charge, was sentenced to 30 days in jail, placed on probation for a year, and assessed a fine and court costs.	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	—	—
1.i	In October 2001, Applicant was charged with disturbing the peace and intimidation by phone. He pleaded guilty to the latter charge, and was assessed a fine plus costs.	Against Applicant	Unspecified Criminal Conduct	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability	—	—
1.j	In March 2002, Applicant tested positive for marijuana and methamphetamine while on probation for a DUI. He was found to have violated his probation and was jailed for 30 days.	Against Applicant	Drug Related Criminal Charge	Convicted	Denied	(a) pattern of minor offenses casting doubt on judgment/reliability (b) evidence of criminal conduct, regardless of charge or conviction	—	—
1.k	In March 2002, Applicant was cited for driving on a suspended license and for an outstanding warrant. The warrant was resolved the next day, and the license was not actually suspended.	For Applicant	Traffic Offense Pattern	Arrested Not Charged	Denied	—	—	—
1.l	Applicant deliberately falsified facts about his criminal record and drug use when he submitted his SF 86 in September 2002, and when he gave a sworn statement to DSS in August 2003.	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	—	—

Allegation

Finding

Offense

Criminal disposition

Response

Disqualifying (¶31)

Mitigating applied (¶32)

Mitigation

1.a

Applicant was arrested for assault; however, there is no other available information about this charge and Applicant has no memory of the event.

For Applicant

Assault or Battery

—

Denied

—

1.b

Applicant was arrested in July 1997, and charged with disturbing the peace. He pled guilty and paid a fine plus court costs.

Against Applicant

Unspecified Criminal Conduct

Convicted

Denied

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

—

1.c

In September 1998, Applicant pled guilty to failing to appear in court.

Against Applicant

Unspecified Criminal Conduct

Convicted

Denied

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

—

1.d

In July 1999, Applicant was charged with violating a protective order his ex-wife had obtained against him during their divorce. This charge was eventually dismissed.

Against Applicant

Domestic Violence

Dismissed or Nolle Prossed

Denied

—

1.e

In May 2000, Applicant was cited for driving on a suspended license and not having a valid registration. The charges were dismissed.

For Applicant

Traffic Offense Pattern

Dismissed or Nolle Prossed

Denied

—

1.f

Applicant has been arrested three times and charged with driving under the influence of alcohol (DUI). In November 2000, he was convicted of the charge, sentenced to 30 days in jail, and placed on probation for one year.

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

—

1.g

In February 2001, Applicant was charged with disturbing the peace and destruction of property. After pleading guilty, he was sentenced to one year probation, fined and assessed court costs, and ordered to pay restitution.

Against Applicant

Vandalism or Property Damage

Convicted

Denied

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

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

—

1.h

In April 2001, Applicant pleaded guilty to a second DUI charge, was sentenced to 30 days in jail, placed on probation for a year, and assessed a fine and court costs.

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

—

1.i

In October 2001, Applicant was charged with disturbing the peace and intimidation by phone. He pleaded guilty to the latter charge, and was assessed a fine plus costs.

Against Applicant

Unspecified Criminal Conduct

Convicted

Denied

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

—

1.j

In March 2002, Applicant tested positive for marijuana and methamphetamine while on probation for a DUI. He was found to have violated his probation and was jailed for 30 days.

Against Applicant

Drug Related Criminal Charge

Convicted

Denied

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

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

—

1.k

In March 2002, Applicant was cited for driving on a suspended license and for an outstanding warrant. The warrant was resolved the next day, and the license was not actually suspended.

For Applicant

Traffic Offense Pattern

Arrested Not Charged

Denied

—

1.l

Applicant deliberately falsified facts about his criminal record and drug use when he submitted his SF 86 in September 2002, and when he gave a sworn statement to DSS in August 2003.

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

—

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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

CONCLUSION

FORMAL FINDINGS

DECISION

FOOTNOTES