When an individual receives a Statement of Reasons (SOR), the response process can be complex and daunting, especially when an individual’s eligibility is at stake. Here’s a summary of best practices in responding to an SOR and addressing all of the security concerns raised.
Understanding the Statement of Reasons
A SOR serves as a formal communication from the government, usually issued by the Defense Office of Hearings and Appeals (DOHA), the Department of Energy (DOE), or another federal agency about your security clearance. It outlines specific security concerns related to potential security vulnerabilities, which may include issues such as financial problems, criminal history, substance abuse, mental health concerns, or any behavior that could pose a risk to national security.
Here are some best practices in responding.
1. Read the SOR Facts Very Carefully.
Thoroughly review the SOR to understand the security concerns and the evidence cited. Take note of any claims that you agree with and those you dispute. It is best to start by outlining the individual security concerns and then preparing a factual written response to each allegation. We find that this helps start the SOR organization process.
2. Gather Relevant Evidence.
Collect documentation that supports your position regarding the specific SOR security concerns. This could include court documents, tax records, cellphone information, financial records, police reports, witness letters, video, emails, or anything else that would refute or explain the security concerns. In responding to an SOR you should be submitting numerous exhibits which support your position or show your overall good character.
3. Consider Context.
For many security concerns raised in the SOR, consider providing the unique context of your situation. The uniqueness of any security issues raised is usually one of the most important mitigating factors. Personal circumstances that caused security concerns such as medical/health issues, job loss, unexpected downturn in the economy, or family problems may help explain certain behaviors or decisions for purposes of mitigation.
4. Outline Your Response.
It is important to aim for a clear and concise structure. In the outline, try to address each of the security concerns individually and provide a thoughtful explanation, cite supporting evidence, and reference applicable mitigating factors from Security Executive Agent Directive 4 (SEAD 4). The key to a successful response is to focus first on the allegations, whether they are true, and how you have dealt or will deal with them.
5. Be Honest and Transparent.
The security clearance process requires honesty and transparency. It is important to take ownership of fault where security concerns are true. Individuals should also attempt to discuss what steps have been taken to rectify them. For example, if financial debts are cited, it would be important to show how you are actively addressing debts and improving your overall credit and financial health. Defensiveness regarding mistakes made can hurt your ability to respond effectively.
6. Provide Mitigating Factors.
SEAD 4 provides guidance on mitigating factors, which are helpful, depending on the security concern. It is crucial to review these when drafting your response. Common mitigating factors include how long ago an issue happened or what efforts you have taken to ensure that the issue doesn’t happen again. For instance, if alcohol abuse is a concern, detail any rehabilitation programs or professional treatment that you have completed and the support systems you have put in place.
7. Focus on the Whole-Person Concept.
The Whole-Person Concept is a factor in security clearance responses that should not be overlooked. It is defined as an overall commonsense judgment about the individual and their ability to hold a security clearance. When preparing a response, it is important to include significant information about the individual’s work history, performance, lack of past discipline, or good security clearance record. Basically, if there is something positive to be said about an individual, this is the place to include it. Exhibits should also be provided to show evidence of the Whole-Person Concept.
8. Use a Professional Tone.
This is important.Many people get upset when they learn that they have been accused of having security concerns; do not get defensive. Being defensive can lead to security clearance denials. Maintain a professional and respectful tone throughout your written response. Avoid being argumentative, as this could detract from taking responsibility for mistakes that were made. Accepting responsibility, where appropriate, in a respectful tone is a good approach.
Final Thoughts
The SOR response process is critical in security clearance cases. Responding to a SOR can be a challenging process, but it is not insurmountable. By carefully analyzing the security concerns, gathering your evidence, and crafting a thoughtful response, you can begin to address the issues at hand. The goal is to eliminate the security concerns at the SOR level before moving further in the clearance appeals process. We always advise clearance holders and applicants to consult with experienced counsel when formally responding to SORs.
This article is intended as general information only and should not be construed as legal advice. Although the information is believed to be accurate as of the publication date, no guarantee or warranty is offered or implied. Laws, regulations and government policies are always subject to change, and the information provided herein may not provide a complete or current analysis of the topic or other pertinent considerations. Consult an attorney regarding your specific situation.
