DATE: October 28, 2005


In Re:

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

Applicant for Security Clearance


ISCR Case No. 01-10334

DECISION OF ADMINISTRATIVE JUDGE

ELIZABETH M. MATCHINSKI

APPEARANCES

FOR GOVERNMENT

Daniel F. Crowley, Esq., Department Counsel

FOR APPLICANT

Pro Se

SYNOPSIS

Applicant's security clearance was revoked in April 2000 for a pattern of criminal assault behavior (six domestic incidents) between November 1995 and March 1998. On reapplication, Applicant has shown he has completed his court-ordered counseling and there has been no recurrence, thereby mitigating the personal conduct concerns. Applicant had delinquent debt following his divorce from his second wife, which he is in the process of resolving. Clearance is granted.

STATEMENT OF THE CASE

On February 23, 1999, the Defense Office of Hearings and Appeals (DOHA) issued a Statement of Reasons (SOR) to the 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 the Applicant. (1) DOHA recommended referral to an administrative judge to conduct proceedings and determine whether clearance should be granted, continued, denied, or revoked. The SOR alleged personal conduct concerns, specifically six domestic violence incidents from late November 1995 to late March 1998, and one security violation in October 1997 where Applicant left a controlled room unattended. The two most recent domestic assault and battery offenses were also alleged under criminal conduct.

A due process hearing was held before DOHA Chief Administrative Judge Robert R. Gales on August 18, 1999. On October 27, 1999, Judge Gales issued a decision favorable to Applicant. He concluded Applicant had successfully participated in formal rehabilitation and counseling, and had minimized the stressors which had led to the domestic incidents, two of which were "purely verbal," two involved "relatively minor physical clashes," one involved his son who has diagnosed mental/behavioral disorders where the son had to be physically restrained, and one involved a temporary restraining order obtained by a former spouse during a period of marital discord. The security violation was found to be inadvertent and isolated. (ISCR 99-0122, October 27, 1999).

Department Counsel appealed, and on April 7, 2000, the DOHA Appeal Board reversed, finding the judge's analysis of the six domestic incidents was "artificial, strained, and failed to reflect a reasonable interpretation of the evidence as a whole," and Applicant engaged in a pattern of poor judgment and irresponsibility that resulted in criminal behavior over a period of years. The Board further concluded Applicant's evidence of reform was "limited, sketchy, and uncorroborated . . . relatively recent and brief in duration compared to his history of misconduct." (App. Bd. ISCR 99-0122, April 7, 2000). Applicant's clearance was revoked on April 17, 2000.

Applicant reapplied for a security clearance in April 2001. On May 11, 2001, the Defense Industrial Security Clearance Office (DISCO) acknowledged receipt, and notified Applicant of his responsibility to provide sufficient information to DOHA to justify reopening of his case. On July 2, 2001, Applicant provided DOHA documentation proving his completion of two programs as a condition of his probation for the March 1998 domestic assault. His case was reopened and a new investigation was conducted by DSS, which revealed no further criminal assault incidents or security violations, but disclosed financial indebtedness.

On August 5, 2004, DOHA issued a new SOR to Applicant under Guideline F, financial considerations, alleging four delinquent debts totaling $49,505, and under Guideline E, personal conduct, alleging the previous denial of his security clearance for the six domestic violence incidents that were the subject of the August 1999 proceedings.

In his Answer of August 27, 2004, Applicant admitted three of the four debts but denied that he owed a $40,867 second mortgage on his home after its foreclosure. Applicant admitted the six domestic violence incidents, submitting in mitigation that he had completed the programs required and there has been no recurrence. Applicant requested a hearing if the information was not sufficient to resolve his case, and the case was assigned to me on April 4, 2005. On May 6, 2005, I scheduled a hearing for May 26, 2005.

At the hearing, 22 government exhibits were admitted, including the transcript and decisions from the August 1999 proceedings. At the government's request, I agreed to take official notice of the pertinent state's criminal statutes for assault and assault and battery, and indecent assault and battery on a child under fourteen. (2) Applicant testified and submitted six exhibits. A transcript of the hearing was received on June 8, 2005. The record was ordered held open until June 24, 2005, for Applicant to submit additional documentation and for Department Counsel to brief the issue of whether a DOHA administrative judge is precluded from rendering new findings on issues that were the subject of a prior DOHA proceeding and resolved in Applicant's favor but were overturned on appeal due to inadequate rehabilitation. Applicant timely forwarded six additional exhibits, which were admitted without objection. Department Counsel was granted an extension until July 11, 2005, to file its brief, which was forwarded by facsimile after close of business on that date.

RULINGS ON PROCEDURE

At his hearing, I requested the government's position as to whether it was proper for DOHA to revisit the six domestic violence incidents that had been the subject of Applicant's August 1999 proceeding, where the DOHA Appeal Board had found no error in the judge's findings of fact and had overturned the decision primarily because of inadequate showing of rehabilitation. In his July 11, 2005, response to this Judge's order, Department Counsel submits Applicant is collaterally estopped from challenging his criminal convictions, decisions of the DOHA Appeal Board but not the DOHA administrative judges are legally binding, and the Board's reversal of an earlier favorable decision does not preclude another administrative judge from making new findings and reaching conclusions in light of the evidence of rehabilitation that was not before the Board.

DOHA Appeal Board decisions are binding on the DOHA hearing judge. Department Counsel is also correct in noting that decisions of DOHA administrative judges have no precedential weight in other cases, as each case has its unique facts and circumstances. The salient issue here is whether findings of a DOHA administrative judge, which are not overturned on appeal, are binding on another DOHA administrative judge asked to consider the same issues which were not disturbed on appeal.

The principal of collateral estoppel (issue preclusion) prevents the relitigation of an issue of law or fact that was litigated and necessarily determined in a previous case. It promotes judicial efficiency, assures that the parties will not be called upon to relitigate the same controversy or issue, and allows the parties to rely on the matters they considered settled. It is well settled that the doctrine of collateral estoppel applies in industrial security proceedings. The DOHA Appeal Board has addressed collateral estoppel primarily in the context of the effect of criminal convictions on DOHA adjudications (see e.g., ISCR 99-0116, App. Bd. ay 1, 2000, collateral estoppel precludes applicants from contending they did not engage in the criminal acts for which they were convicted). The same due process of law that does not give an applicant the right to relitigate matters adjudicated in a prior due process proceeding applies to the government. Applicants have a right to expect repose in adjudications. However, collateral estoppel does not preclude the relitigation of an issue if the facts and circumstances relating to it have changed significantly since the prior judgment. In this case, there is new evidence of rehabilitation that was not before the Board. In determining whether Applicant has met his burden of reform with respect to those domestic incidents that led the Board to reverse the original administrative judge's decision, the nature, extent, and seriousness of the incidents themselves must be evaluated. Furthermore, the DOHA administrative judge may properly reconsider the security significance of past conduct in light of more recent conduct having security significance. (See e.g.,ISCR 02-17609, May 19, 2004)The debts alleged under Guideline F were not considered in the prior proceeding. Accordingly, I am not barred from rendering findings and conclusions with respect to the domestic violence incidents as they bear on Applicant's current security suitability.

FINDINGS OF FACT

Applicant admitted the six domestic violence incidents and the indebtedness alleged in ¶¶ 1.b., 1.c., and 1.d. of the SOR at issue, dated August 5, 2004. These admissions are incorporated as findings of fact. After a complete and thorough review of the evidence, I make the following additional findings:

Applicant is a 53-year-old electrical engineering technician who has worked for his present employer since August 1995. He seeks restoration of a secret security clearance that was revoked in April 2000 following a DOHA Appeal Board reversal of a favorable decision by the DOHA administrative judge. He had held a security clearance continuously from 1975 until it was revoked in 2000.

Applicant has been married four times (twice to his first wife). He has three children, all with his second spouse, to whom he was married for 15 years (from June 1982 to October 1997). Applicant has been married to his present wife since July 1998. For about two and one-half years starting in late Fall 1995, Applicant was involved in several domestic disputes which led to police and even court involvement: