Federal Circuits, D.C. Cir. (April 20, 1970)
Docket number: 22506
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U.S. Supreme Court - Miranda v. Arizona, 384 U.S. 436 (1966)
U.S. Supreme Court - Johnson v. New Jersey, 384 U.S. 719 (1966)
U.S. Supreme Court - Greene v. McElroy, 360 U.S. 474 (1959)
U.S. Supreme Court - Department of Navy v. Egan, 484 U.S. 518 (1988)
U.S. Supreme Court - Lindahl v. Office of Personnel Management, 470 U.S. 768 (1985)
Federal Register - Immigration: Continued detention of aliens subject to removal orders,
Mr. William M. Barnard, Washington, D.C., with whom Mr. Ralph J. Temple, Washington, D.C., was on the brief, for appellant.
Mr. H. Yale Gutnick, Atty., Department of Justice, with whom Asst. Atty. Gen. J. Walter Yeagley and Kevin T. Maroney, Atty., Department of Justice, were on the brief, for appellee.Before WRIGHT, McGOWAN and TAMM, Circuit Judges.McGOWAN, Circuit Judge:Appellant's complaint in the District Court sought declaratory and injunctive relief requiring the Secretary of Defense to accord to appellant certain security authorizations for access to classified information alleged by appellant to be essential to his continued employment by private companies engaged in defense work. Each side moved for summary judgment, and this appeal is from the District Court's order, entered without a statement of reasons, granting appellee's motion. We affirm.* This case grows out of the Federal Government's program to protect the integrity, while in the possession of private industry, of classified information relating to the national defense. That program was reorganized and established on new foundations in 1960 as a consequence of the Supreme Court's inability to find in it adequate procedural protections for the individual seeking or holding security clearance. Greene v. McElroy, 360 U.S. 474, 79 S.Ct. 1400, 3 L.Ed.2d 1377 (1959). The basic charter of the revised program is Executive Order 10865, issued by the President on February 20, 1960. 25 Fed.Reg. 1583. It directs the Secretary of Defense, among others, to prescribe regulations for the safeguarding of classified information within industry. It admonishes that an authorization for access to such information may be given 'only upon a finding that it is clearly consistent with the national interest to do so.' It prescribes a broad range of procedural rights for the individuals seeking or holding such authorization.As directed, the Department of Defense issued on July 28, 1960, its Directive 5220.6, which embodies the Industrial Personnel Access Authorization Review Program. 25 Fed.Reg. 14399. DOD 5220.6 is a comprehensive document which states its policy to be the implementation of Executive Order 10865 by the taking of adequate measures 'to insure that no person is granted, or is allowed to retain, an authorization for access to classified information unless the available information justifies a finding that such access authorization * * * is clearly consistent with the national interest.' The organization for the administration of the program is spelled out in detail. A 'Standard' for access authorization is defined in terms of a grant or continuation of access 'only if it is determined that such access by the applicant is clearly consistent with the national interest.' There are also enumerated several 'Criteria' for the application of the Standard to individuals; and this particular section of the Directive is completed with a statement of several principles which are designated as 'Guidance' for the application of the Standard and the Criteria. The first, and most central, of these principles asserts that the matters identified in the criteria'may, in the light of all the surrounding circumstances, be the basis for denying or revoking an access authorization. The conduct varies in implication, degree of seriousness and significance depending upon all the factors in a particular case. Therefore, the ultimate determination of whether an authorization should be granted or continued must be an over-all commonsense one on the basis of all the information which may properly be considered under this Regulation including but not restricted to such factors, when appropriate, as the following: the seriousness of the conduct, its implications, its recency, the motivations for it, the extent to which it was voluntary and undertaken with knowledge of the circumstances involved and, to the extent that it can be estimated and is appropriate in a particular case, the probability that it will continue in the future.The remainder of DOD 5220.6 is largely devoted to a detailed prescription as to how cases are to be processed and the procedures which are to be observed. The adjudicatory hierarchy is comprised of a Screening Board, a Field Board, and the Central Industrial Personnel Access Authorization Board.Appellant was employed in private industry as an electronics technician. In 1957, while employed by Melpar, Inc., appellant was given a Secret access authorization. In 1962 his then employer, National Scientific Laboratories, Inc., urged him to apply for a Top Secret authorization, which he did. This application went to the Screening Board for processing. The Board thought further investigation was necessary, and appellant was requested to present himself for an interview at the Potomac River Naval Command. Appellant appeared there at 9:00 A.M, on the morning of July 30, 1964, and was interviewed by two investigators from the Office of Naval Intelligence. They advised appellant at the outset of his right to refrain from answering questions, and that any answers he gave might be used against him. Appellant did not elect to stand mute, and the conversations began, continuing until four in the afternoon and being resumed for a short time on August 4. These discussions were mainly concerned with appellant's involvement in homosexuality, as to which he made a number of revelations.Thereafter appellant's Secret authorization was suspended and his application for Top Secret denied. A 'Statement of Reasons' was furnished to him at that time by the Screening Board, which, as set forth in the margin,1 identified four of the Criteria as incompatible with certain homosexual conduct attributed to appellant. When appellant sought more particulars about this last, he was supplied, by a letter dated June 30, 1965, with a list of what were characterized as 'further details.' Appellant sent a letter by way of answer to these specifications, in which he admitted some of the acts but denied most of them, and ended by appearing to say that he perhaps made some admissions to his interviewers for the purpose of bringing the interrogation to an end.Appellant asked for a hearing, which took place before the Field Board in Washington. Appellant was represented by counsel at this hearing, and testified on his own behalf. One of the ONI interviewers testified in person. Cross-examination of each witness took place. Each side was permitted to make documentary evidence part of the record.The record so made, and the Field Board Examiner's report, went to the Central Board for review. Appellant was subsequently notified by letter, dated April 7, 1966, of a tentative adverse determination by the Central Board, a conclusion which appellant's counsel attacked in oral argument before the Central Board. That Board thereafter notified appellant of its final determination in these terms:'After considering all of the information available to it, including-- in addition to the items enumerated in letter of April 7, 1966-- the argument presented at the appearance before the Central Board and the additional material submitted with your letter of June 9, 1966, the Central Board has determined that the granting of authorization to Mr. Adams for access to any information classified pursuant to Executive Order 10501 is not clearly consistent with the national interest. In reaching that determination, the Board found against Mr. Adams with respect to each allegation, paragraph and Criterion of the Statement of Reasons furnished him under date of May 28, 1965. However, as pointed out in letter of April 7, 1966, the Board attributed no adverse significance to the matters detailed in subparagraphs a. (1), a. (2), a. (3), a. (7), and paragraph b. of letter of June 30, 1965 signed by Mr. Herbert Lewis of this Office. The Board concluded that its final determination and findings were adequately supported by, and the result of, its independent consideration of the evidence of record, excluding the matters immediately above-mentioned.'The matters to which the Board, in both its tentative and its final determinations, attributed no derogatory significance related to homosexual acts before appellant reached adulthood, frequenting a public restaurant said to be a hangout of homosexuals, and refraining during the ONI interview on self-incrimination grounds from answering any questions about sexual relationships since 1960 with Mr. 'A', a fellow employee at Melpar, Inc. This left as the factual basis for the Board's inability to find that security clearances for appellant were in the national interest (1) homosexual acts engaged in with two fellow employees at Melpar, Inc., whom appellant would identify only as Messrs. 'A' and 'B', (2) a homosexual act with one 'Y' in 1963, and (3) the solicitation of 'X' in 1962, when they were working jointly on a science fair project, to engage in homosexual acts.1AIIThe record in the District Court was the administrative record compiled in the agency proceedings.2 On this appeal, appellant does not assert that the evidence in that record is inadequate to support the factual determinations as to appellant's conduct which were relied upon by appellee in denying the clearances. Appellant claims that that evidence was, in two respects, obtained or admitted under circumstances violative of due process of law, Executive Order 10865, or DOD 5220.6. Over and beyond these alleged procedural defects, appellant urges a failure of due process in that (1) the evidence was weighed under standards not articulated with the requisite degree of specificity, and (2) no findings or conclusions were made demonstrating that the clearance denials were, as he puts it, 'required in the national interest.'1. The ONI Interview.The record evidence of appellant's homosexual history was comprised in considerable part of memoranda and testimony as to what was said during the interview of appellant by the ONI agents on July 30 and August 4. Appellant now urges that this interview was so inherently coercive as to render unreliable the statements he made in the course thereof, and for the Board either to reach conclusions on such evidence or to countenance such coercion by entertaining that evidence is incompatible with the constitutional command of due process. The pivot of this argument is Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966), although it is not claimed that the right to counsel during criminal custodial investigation recognized in that decision was violated here.3 Rather, it is argued that the unseemly police interrogation practices adverted to by the Supreme Court in its opinion in Miranda were indulged in here, and should, accordingly, be made the basis for nullifying the use of any information developed during the interview.In resolving this issue against appellant, we do not rest upon any distinction between criminal interrogation and that involved here for purposes of invoking the right against self-incrimination. Neither do we deny the relevance of Miranda because it, strictly viewed, turned upon the failure to provide counsel-- a matter not in issue here. We look rather to what the record reveals for our measurement of whether what happened here was so patently uncivilized or grossly intimidating as to require judicial interference, in vindication of constitutional principles, with this execution by the Defense Department of its responsibilities under Executive Order 10865.The decision by the Screening Board to seek an interview of appellant appears to have been largely the result of certain discrepancies on the face of his pending application for the Top Secret authorization. He was invited to present himself for interview, and he voluntarily did so. Upon his arrival at the ONI office at 9:00 A.M., he was greeted by two agents. It is conceded that they prefaced any questioning by advising him of his self-incrimination rights.4 The first part of the interview was devoted to clearing up some errors in appellant's papers. It then turned to the subject of homosexuality.The conversations on July 30 continued until four in the afternoon; this included a one-hour luncheon recess, two coffee breaks, and what appear to have been at least two comfort breaks. There is nothing in the record to suggest that appellant was in physical custody and, indeed, there are affirmative indications to the contrary. He left the building by himself to go to lunch, and was under no surveillance while he was away. He did not plead fatigue or other reason for terminating the interview, and, when it broke up at four o'clock, arrangements were made by mutual agreement for him to return to complete it five days later. He returned at the time agreed upon, and talked without protest to the agents for two more hours at that time. A telephone was available throughout for appellant's free and unrestricted use and, on the first day, he in fact used it to call his employer to say that he would be late getting back to work.The conversation was about what one might expect such a dialogue to be. The agents were persistent, as professional investigators have a way of being. Appellant was obviously torn between distaste for revealing highly intimate details of his personal life, on the one hand, and, on the other, his desire not to endanger the success of his application by seeming to be uncooperative or to be concealing matters which inferentially might be regarded as much worse than they were in fact. His lot, in short, was an unhappy and uncomfortable one, as is true of anyone who occupies as ambivalent a position as does the homosexual in the contemporary social order. It was not, in our view, significantly worse than would normally obtain if it be thought that he was properly subject to questioning at all on this subject.We do not doubt that his interrogators were aware of the conflicting pulls upon him, or that they reminded him of them with varying degrees of subtlety. In doing so, they would in effect have been calling his attention to the following paragraph contained in the 'Guidance' principles stated in DOD 5220.6 for the application of the Standard and the Criteria:It is essential to the efficient, economical, and equitable operation not only of the Industrial Personnel Access Authorization Review Program, but of the total procedures whereby the Department of Defense authorizes access to classified information, that applicants provide full, frank and truthful answers when they complete official questionnaires or other similar documents, or respond to official inquiries. Accordingly, the deliberate giving of false or misleading testimony or information on relevant matters, may be sufficient standing alone to justify denying or revoking access authorization and shall be weighed carefully before a determination is reached under this Program.The moment that appellant decided to press his application in the face of investigation and to submit himself for that purpose to interrogation, pressures upon him were inevitable. They included the distasteful business of answering the questions of two investigators who must have appeared to him at one time as potential allies in his quest for clearance, but who in the end proved to be instrumentalities of his frustration. Viewed by appellant in the one role, the conversations with them must have seemed quite different from how they came to appear after the fact. It is surely not surprising that what at the time appeared to be an opportunity to be seized later looked like a trap to be denounced.We are not unsympathetic towards the highly subjective nature of appellant's feelings about the interrogation, but we do not find in the record anything so shocking about it as to transgress the limits of due process or to render wholly unreliable the statements attributed to appellant in the course of that interview.2. The 'X' Affidavit.At the Field Board Hearing, the Government offered in evidence an affidavit, dated June 22, 1964, by one Mr. 'X', a Duke University student. That affidavit related that 'X' had known appellant for five or six years; some 2 1/2 years before, appellant had helped 'X' with a science fair project; and during those meetings appellant has asked 'X' to engage in homosexual acts with him, representing to 'X' that he (appellant) was an active homosexual and recounting to 'X' appellant's past and current homosexual experiences. Appellant now urges that the lack of opportunity afforded him to confront and to cross-examine 'X' was a denial of due process under the Constitution, as well as a departure from the requirements of Executive Order 10865 and the regulations issued by appellee thereunder.Executive Order 10865 contemplates that a person situated as was appellant must be afforded an 'opportunity to cross-examine persons either orally or through written interrogatories'; and the implementing language of DOD 5220.6 is that '* * * the record may contain no information adverse to the applicant on any controverted issue unless (1) the information or its substance has been made available to him and the applicant is afforded an opportunity to cross-examine the person providing the information either orally or by written interrogatories.' The transcript of the Field Board hearing contains the following colloquy at the time the affidavit was offered:MR. TILTON (for the Government): * * * I have a sworn affidavit of (Mr. 'X') who has indicated his willingness to appear at the proceeding and testify * * * I have been in contact by telephone with him, and he is unable to appear.He has indicated that he would reply to interrogatories. I have furnished a copy of the statement to Mr. Graves (attorney for appellant) and have indicated that I certainly would assure him of the right to submit cross-interrogatories. I offer a facsimile reproduction, and a copy of which I have furnished, as I say, to him.MR. GRAVES: All right.(Admission of Affidavit as Government's Exhibit No. 2)MR. ROCHE (Field Board Examiner): That has been extended to counsel for the applicant for an opportunity to submit interrogatories to Mr. ('X') should he desire to do so?MR. TILTON: By the same token, Mr. Chairman, Mr. Graves previously indicated that a prospective witness for the applicant, (Mr. 'Z'), was unable to appear, and I have stipulated with him that he may submit an affidavit of Mr. ('Z') subject to my right to submit cross interrogatories.MR. GRAVES: * * * I would suggest * * * we have 15 days from the conclusion of this proceeding, both of us, for me to submit interrogatories to ('X')-- on the ('X') statement, and also to submit the affidavit of Mr. ('Z').MR. ROCHE: Each of you will have a like period to submit interrogatories should you so desire.It thus appears that, far from objecting to the admission of the 'X' affidavit or insisting that the affiant be produced for cross-examination, appellant was content to avail himself of the use of written interrogatories, as contemplated in the Executive Order and the regulations. We need not decide whether restriction to written interrogatories in lieu of direct confrontation would invariably comport with the demands of due process in those cases where the applicant objects to proceeding without cross-examination. But there was no such insistence here, due at least in part to the fact that appellant himself had a witness he wished to present through affidavit rather than in person, and was accordingly ready to stipulate with government counsel that each would consent to admission of the other's evidence in the form of an affidavit, subject to the right of each to submit written interrogatories.5In the light of the foregoing, the contention that the admission of the 'X' affidavit was in conflict with the requirements of Executive Order 10865 and the regulations borders on the frivolous. Neither did the admission of the affidavit occur under circumstances amounting to an impingement upon the Due Process Clause standing alone. Appellant freely elected to agree to the admission of the affidavit and to rely upon written interrogatories for any testing of it that he chose to make. These are something less than the conditions of fundamental procedural unfairness which are the focus of the due process concept.63. Standards and Findings.Appellant's final appeal to the Due Process Clause is formulated in terms of an asserted absence of (a) any adequately enunciated standard for evaluation of conduct disqualifying one for security clearance, and (b) findings showing a need for denial. Both of these claims take their departure from a substantive concept which appellant professes to derive from United States v. Robel,Try vLex for FREE for 3 days
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