What is the Statement of Reasons

With experience spanning over 40 years, Alan Edmunds, from Ponte Vedra, Florida, has represented over 1000 clients with revoked or denied security clearances. Though he also assists his clients from the initial application, Alan Edmunds understands that the pivotal point for many applicants occurs after the Statement of Reasons (SOR) receipt.

When seeking security clearance, first fill out the application form, including citizenship, biographical data, employment history, family, close associates, financial information, and criminal record. The clearing authority, whether it be the government, military, department of defense, or the FBI, scrutinizes the data. If deemed correct and permissible, the investigative file, called the Report for Adjudication, is sent to the adjudication facility for clearance. However, if the investigation reveals disqualifying or insufficient information, the applicant receives an interrogatory request, referred to as the Statement of Reasons (SOR).

The SOR highlights the reasons for clearance denial, existing inconsistencies with national security matters, and the basis for that conclusion and is usually the preamble to a possible clearance denial. Once you receive the SOR, respond within 20 days of the receipt date. Without a written request for an extension, any delays beyond that imply you have accepted the denial and rescinded the clearance application. You can either admit or deny the denial reasons and add supporting information.

A cover letter usually accompanies the SOR and contains a basic guide on how to respond to the SOR and a form to fill out your response. On this form, you can either request to be heard before an administrative judge (AJ) or opt that the case be decided solely based on your written record. Do note that for the latter option, your assigned attorney may still request a hearing on your behalf. However, throughout the process, it is recommended you engage a clearance attorney from the instance you receive the SOR to assist with informed and timely response and case-specific guidance.

Security Clearance in the United States

Obtaining a security clearance is critical for people who want to work for the government. A security clearance confirms a person’s trustworthiness and allows them to access national security information. The clearance is granted by the United States Department of State Bureau of Diplomatic Security Service (DSS).

There are three levels of security classification: confidential, secret, and top secret. The confidential clearance allows a person to access information that could cause measurable damage to US national security if disclosed. Secret clearance grants access to information that could cause grave damage to national security if disclosed. Top secret grants access to highly sensitive information that could cause severe damage to national security if disclosed. The majority of people who seek clearance are given confidential clearance that grants them access to confidential information only.

An individual worker cannot apply for a security clearance. The hiring official determines whether the person needs a security clearance to perform their duties. If so, the hiring official invites the worker to access the e-QIP system and fill out an application for security clearance. The primary form is the Questionnaire for National Security Positions (SF-86 or form 86).

E-QIP is a system administered by the Office of Personnel Management (OPM) for federal government use. The system enables the submission and processing of standard forms through a secure Internet connection.

The SF-86 form is nearly 20 pages long. It contains questions that workers must answer truthfully. Some of the questions may be revealing, and workers may want to consult a security clearance attorney before answering them.

When a worker completes the form, the hiring official reviews it and submits it to DSS. The agency reviews the application and formally opens a background investigation. The investigation includes fingerprints and record checks across all government databases and commercial databases. DSS corroborates all of the information submitted by the applicant against the records. The agency also may interview people who know the candidate, interview the candidate face-to-face, or even subject the applicant to a polygraph (lie detector) test.

After the investigations, DSS considers the applicant’s suitability for a security clearance based on the person’s stability, character, reliability, honesty, judgment, and loyalty to the United States. Other important factors are trustworthiness and discretion. The federal government cannot discriminate against people based on their race, religion, sex, disability, or sexual orientation.

If DSS denies an applicant’s clearance, it issues a “Statement of Reasons” detailing the grounds for denial. Common reasons for denying clearance include criminal conduct, questionable allegiance to the United States, alcohol or drug involvement, mental or emotional instability, misuse of information security systems, and financial concerns.

A person who receives a Statement of Reasons may consider contacting a security clearance lawyer who can guide them in appealing the decision. The lawyer can apply for a hearing in front of an administrative judge to argue against the security clearance denial. Even if the judge rules against the applicant at the hearing, the lawyer can appeal the decision.

In some cases, DSS grants interim determination to workers at the request of their hiring officers, allowing them to work before a full background investigation is finished and a final determination made. If a request for an interim determination is denied, the denial may simply mean that DSS has not yet completed its background investigations. The denial of an interim determination does not necessarily mean that the candidate ultimately will not receive security clearance.