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ISCR Case No. 02-10398

Appeal Board

Decided Apr 22, 2003 · Administrative Judge Michael Y. Ra'anan · Appeal

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The appeal involved a security clearance denial based on the applicant's criminal conduct. The applicant, representing himself, did not allege any specific harmful errors in the Administrative Judge's decision. The Board affirmed the denial, finding no basis to overturn the decision.

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Appeal Board Decision

2-10398

APPEAL BOARD DECISION

APPEARANCES

FOR GOVERNMENT

Peregrine D. Russell-Hunter, Esq., Chief Department Counsel

FOR APPLICANT

Pro Se

Applicant has appealed the January 9, 2003 decision of Administrative Judge Burt Smith, in which the Judge concluded it is not clearly consistent with the

national interest to grant or continue a security clearance for Applicant.

This Board has jurisdiction on appeal under Executive Order 10865 and Department of Defense Directive 5220.6 (Directive), dated January 2, 1992, as

amended.

Applicant's appeal presents the following issues: (1) whether the Board should contact Applicant to ask him questions about his case; and (2) whether the

Board should recommend Applicant's case be considered for a waiver under 10 U.S.C. §986. For the reasons that follow, the Board affirms the Administrative

Judge's adverse decision, and does not recommend Applicant's case be considered further for a waiver under 10 U.S.C. §986.

<CENTER>Procedural History</ CENTER>

The Defense Office of Hearings and Appeals issued to Applicant a Statement of Reasons (SOR) dated May 17, 2002. The SOR was based on Guideline J

(Criminal Conduct).

Applicant submitted an answer to the SOR in which he stated "I would like a decision without a hearing." A File of Relevant Material (FORM) was prepared.

A copy of the FORM was given to Applicant, who submitted a response to the FORM. The case was then assigned to the Administrative Judge for

determination.

The Administrative Judge issued a written decision in which he concluded it was not clearly consistent with the national interest to grant or continue a security

clearance for Applicant. The case is before the Board on Applicant's appeal from the Judge's adverse decision.

<CENTER>Scope of Review</CENTER>

On appeal, the Board does not review a case de novo. Rather, the Board addresses the material issues raised by the parties to determine whether there is factual

or legal error. There is no presumption of error below, and the appealing party must raise claims of error with specificity and identify how the Administrative

Judge committed factual or legal error. See Directive, Additional Procedural Guidance, Item E3.1.32. See also ISCR Case No. 00-0050 (July 23, 2001) at pp.

2-3 (discussing reasons why party must raise claims of error with specificity).

When an Administrative Judge's factual findings are challenged, the Board must determine whether "[t]he Administrative Judge's findings of fact are supported

by such relevant evidence as a reasonable mind might accept as adequate to support a conclusion in light of all the contrary evidence in the same record. In

making this review, the Appeal Board shall give deference to the credibility determinations of the Administrative Judge." Directive, Additional Procedural

Guidance, Item E3.1.32.1. The Board must consider not only whether there is record evidence supporting a Judge's findings, but also whether there is evidence

that fairly detracts from the weight of the evidence supporting those findings. See, e.g., ISCR Case No. 99-0205 (October 19, 2000) at p. 2.

When a challenge to an Administrative Judge's rulings or conclusions raises a question of law, the Board's scope of review is plenary. See DISCR Case No.

87-2107 (September 29, 1992) at pp. 4-5 (citing federal cases).

<CENTER>Appeal Issues</CENTER>

1. Whether the Board should contact Applicant to ask him questions about his case. On appeal, Applicant offers to answer any questions or concerns the Board

might have about his case and lists phone numbers at which he can be reached. The Board cannot act on Applicant's offer. First, the Board cannot consider

new evidence on appeal. Directive, Additional Procedural Guidance, Item E3.1.29. Second, Applicant is not entitled to present additional evidence for

consideration in his case. Applicant had the opportunity to present evidence for the Administrative Judge to consider in his case. Nothing in Executive Order

10865, the Directive, or general principles of due process entitle Applicant to have multiple opportunities to present evidence for consideration in his case. See,

e.g., ISCR Case No. 02-20403 (April 7, 2003) at p. 4. Third, if the Board were to accept Applicant's offer to discuss his case, the Board would be placed in the

position of engaging in an impermissible ex parte communication with Applicant about the merits of his case. For all these reasons, the Board cannot accept

Applicant's offer to speak with the Board to discuss his case.

2. Whether the Board should recommend Applicant's case be considered for a waiver under 10 U.S.C. §986. The Administrative Judge made findings of fact

about Applicant's history of criminal conduct, and concluded that Applicant's 1980 felony conviction falls under 10 U.S.C. §986.<A HREF="#N_1_"> (1)</A> The Judge concluded that

application of 10 U.S.C. §986 required an unfavorable security clearance decision in Applicant's case, but recommended Applicant's case be considered for a

waiver under 10 U.S.C. §986. On appeal, Applicant does not challenge the Judge's findings about his history of criminal conduct. Nor does Applicant

challenge the Judge's conclusion that Applicant's 1980 felony conviction falls under 10 U.S.C. §986. However, Applicant asks that a waiver be granted in his

case. The Board construes Applicant's brief as raising the issue of whether the Board should recommend his case be considered for a waiver under 10 U.S.C.

§986.

Pursuant to 10 U.S.C. §986(d), the Secretary of Defense or the Secretary of the military department concerned may authorize an exception to the statutory

prohibition against granting or renewing a security clearance for cases covered by 10 U.S.C. §986(c)(1) or 10 U.S.C. §986(c)(4).

In a June 7, 2001 memorandum implementing the provisions of 10 U.S.C. §986, the Deputy Secretary of Defense indicated: "The decision as to whether a

particular case involves a meritorious case that would justify pursuing a request for waiver shall be the province of the DoD Component concerned (i.e. all

Components authorized to grant, deny or revoke access to classified information) beginning with the Director of the Component Central Adjudication Facility

(CAF), the Component appellate authority or other appropriate senior Component official." For purposes of the June 7, 2001 memorandum, the Director,

DOHA is the Director of the Component Central Adjudication Facility for industrial security clearance cases.

To implement the June 7, 2001 memorandum, the Director, DOHA issued an operating instruction (dated July 10, 2001) which indicates the following:

"Administrative Judges are responsible for initial resolution as to whether or not 10 U.S.C. 986 applies to the facts of the case." (Operating Instruction,

paragraph 2.e.)

"In the event of an appeal raising an issue as to the applicability of 10 U.S.C. 986, the Appeal Board is responsible for final resolution of the issue." (Operating

Instruction, paragraph 2.f.)

"In the event of a final determination that 10 U.S.C. 986 applies to the facts of a case, the Director is solely responsible for the discretionary decision as to

whether to recommend to the Deputy General Counsel (Legal Counsel) that 10 U.S.C. 986 should be waived by the Secretary of Defense." (Operating

Instruction, paragraph 2.g.)

"If an Administrative Judge issues a decision denying or revoking a clearance solely as a result of 10 U.S.C. 986, the Administrative Judge shall include

without explanation either the statement 'I recommend further consideration of this case for a waiver of 10 U.S.C. 986' or 'I do not recommend further

consideration of this case for a waiver of 10 U.S.C. 986.'" (Operating Instruction, paragraph 3.e.)

"If the Appeal Board issues a decision denying or revoking a clearance solely as a result of 10 U.S.C. 986, the Appeal Board shall include without explanation

either the statement 'The Appeal Board recommends consideration of this case for a waiver of 10 U.S.C. 986' or 'The Appeal Board does not recommend

consideration of this case for a waiver of 10 U.S.C. 986.'" (Operating Instruction, paragraph 3.f.)

"In any case in which the Administrative Judge, or the Appeal Board in the event of an appeal, recommends consideration of a waiver of 10 U.S.C. 986, the

Director shall within his sole discretion determine whether or not to forward the case to the Deputy General Counsel (Legal Counsel) for further consideration

of a possible waiver of 10 U.S.C. 986 by the Secretary of Defense together with such rationale as may be requested by the Deputy General Counsel (Legal

Counsel)." (Operating Instruction, paragraph 3.g.)

Because Applicant has not challenged the Administrative Judge's conclusion that his case falls under 10 U.S.C. §986, all that remains for the Board to do is

consider Applicant's request that it recommend further consideration of his case for a waiver under 10 U.S.C. §986(d). Such a request, however, places the

Board in an unusual situation. The Operating Instruction does not authorize the Board to review an Administrative Judge's recommendation whether or not a

waiver should be considered. Furthermore, under the Operating Instruction, the Board is not authorized to give reasons or an explanation for its decision to

recommend or not recommend that a waiver be considered, but only state without explanation either: (1) "The Appeal Board recommends consideration of this

case for a waiver of 10 U.S.C. 986" or (2) "The Appeal Board does not recommend consideration of this case for a waiver of 10 U.S.C. 986."

Since the Board is asked to make a recommendation in its own capacity, the Board is not bound by the waiver recommendation made by the Administrative

Judge below and must review the record evidence as a whole in order to fulfill its obligation to make a meaningful decision whether to recommend or not that a

waiver should be considered.

<CENTER>Conclusions</CENTER>

Under the terms of the Department of Defense memorandum implementing 10 U.S.C. §986, Applicant's case falls under 10 U.S.C. §986(c)(1): "The person has

been convicted in any court of the United States of a crime and sentenced to imprisonment for a term exceeding one year." Accordingly, the Board affirms the

Judge's conclusion that 10 U.S.C. §986 precluded him from making a favorable security clearance decision in Applicant's case.

Recognizing the limits of its authority under the Operating Instruction, the Board has reviewed the record evidence as a whole and states the following: The

Appeal Board does not recommend consideration of this case for a waiver of 10 U.S.C. §986.

Signed: Emilio Jaksetic

Emilio Jaksetic

Administrative Judge

Chairman, Appeal Board

Signed: Michael Y. Ra'anan

Michael Y. Ra'anan

Administrative Judge

Member, Appeal Board

Signed: Jeffrey D. Billett

Jeffrey D. Billett

Administrative Judge

Member, Appeal Board

<A NAME="N_1_">1. </A> Under 10 U.S.C. §986, the Department of Defense may not grant or renew a security clearance for a defense contractor official or employee that falls under

any of four statutory categories [10 U.S.C. §986(c) (1) through (c)(4)]. Applicant's 1980 felony conviction falls under §986(c)(1): "The person has been

convicted in any court of the United States of a crime and sentenced to imprisonment for a term exceeding one year."

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