Receiving a Statement of Reasons (SOR) can be one of the most stressful moments in the security clearance process for an individual. The notice often arrives after weeks, or even months, after a security concern occurs. The SOR identifies specific security concerns that could affect your eligibility for a clearance. But it’s important to understand that an SOR is not a final security clearance decision. In fact, it’s your opportunity to respond, explain, and correct the record. In our experience, many individuals successfully rebut SOR security concerns and obtain their security clearance.
What to Do When You Get a Statement of Reasons (SOR)
As a security clearance attorney, I have represented many clients in this exact situation. Here’s what you need to know and what steps to take next in addressing the SOR.
1. Understand What the SOR Means
An SOR is a formal notice of the government’s intent to deny or revoke your clearance. It lists the specific security concerns or issues that the agency believes may disqualify you under the National Security Adjudicative Guidelines for determining security clearance access pursuant to Security Executive Agent Directive 4 (SEAD 4).
Each concern is tied to one or more of the 13 adjudicative guidelines, such as financial considerations, foreign influence, personal conduct, or drug involvement. There are many others, these are just a few examples. An SOR does not mean that you cannot keep your security clearance, but it does mean that the government needs more information before it can make a favorable decision on your security clearance.
2. Review the SOR Allegations Carefully
Many individuals make mistakes by not treating an SOR seriously. Every word in the SOR matters. The document should list the reasons for the potential denial or revocation, usually in numbered paragraphs. Other agencies handle this differently by instead grouping these concerns over the course of numerous paragraphs which is far less organized and harder to track.
Sample reasons for an SOR might include:
- Specific debts or late payments (for financial issues)
- Foreign relatives or contacts (for foreign influence concerns)
- Inaccurate or omitted information from your SF-86 (for personal conduct issues)
- An arrest for Driving Under the Influence (DUI) (for personal conduct, criminal issues)
When responding, you should go through each allegation line by line and verify whether it’s accurate, outdated, or incomplete. Many SORs include mistakes or rely on outdated records, so accuracy is critical. It is not uncommon for SORs to contain mistakes that must be addressed.
3. Don’t Ignore the Deadlines
In responding, you typically have a strict deadline, usually 10 to 45 days, to respond to an SOR. Missing this deadline can result in an automatic denial or revocation. In some cases, you may be permitted to obtain an extension. You may also have other deadlines specified in the SOR, such as deadlines to request information or a personal appearance. It is very important to calendar each deadline.
4. Prepare a Detailed Response
Prepare a detailed written response to the SOR. The response should be comprehensive and might include:
- A detailed written rebuttal, where you address each allegation carefully; and/or
- A request for a hearing before an administrative judge, depending on your agency or clearance process (e.g., DOHA, DOE, or another adjudicative authority).
Additionally, your written response should address each allegation point by point. For every issue, provide documentation and explanations that show:
- The information is incorrect;
- The issue has been resolved; or
- You have taken meaningful steps to mitigate any concerns (e.g., completing credit counseling, entering a payment plan, or disassociating from questionable contacts).
- Provide important information about your background, positive work performance, past awards, character letters and all possible positive documentation as it goes toward the Whole-Person Concept.
Mitigation is the heart of the security clearance response. Security clearance adjudicators are less concerned with perfection and more interested in whether you demonstrate reliability, trustworthiness, and good judgment moving forward. It is often best to describe the security concerns accurately, take responsibility where mistakes have been made and describe how things will be different moving forward.
5. Request a Hearing
If your agency allows it (it should under Executive Order 12968), requesting a hearing before an administrative judge or other adjudicator can make a significant difference. At a hearing, you (and your attorney) can:
- Present evidence directly;
- Cross-examine witnesses (depending on the agency); and
- Provide live testimony about your character, rehabilitation, or changed circumstances.
In my experience, applicants often have a better chance at success when they appear in person (or virtually) and tell their side of the story clearly and credibly. Administrative judges have often explained that without a hearing that an adjudicator does not have a good opportunity to judge the person and give them the benefit of the doubt. As a result, I believe that a hearing is something that can be critical in keeping a security clearance.
Final Thoughts
An SOR is serious but something that can often be overcome with the right type of response. If you’ve received an SOR, don’t wait to act. Consult with a qualified security clearance attorney to discuss your options and build a strong response tailored to your specific case.
Disclaimer
This article is for general informational purposes only and does not constitute legal advice. Reading this post does not create an attorney-client relationship. Each security clearance case is fact-specific, and you should consult with an experienced security clearance attorney to obtain advice regarding your particular situation.
