%PDF-1.6 % 1 0 obj <> endobj 2 0 obj <>stream 2021-07-02T14:27:41-04:00 2021-07-02T14:27:40-04:00 2021-07-02T14:27:41-04:00 Adobe Acrobat 17.0 application/pdf 01-23356.a1 uuid:415dd06a-f974-4f5e-8bf6-df0a9d5399d9 uuid:1b1b3288-fd9b-4aa0-90f7-c62654fd8dcb Acrobat Web Capture 15.0 endstream endobj 5 0 obj <> endobj 6 0 obj <> endobj 3 0 obj <> endobj 7 0 obj <> endobj 8 0 obj <> endobj 20 0 obj <>>> endobj 21 0 obj <> endobj 22 0 obj <> endobj 24 0 obj [23 0 R 23 0 R] endobj 25 0 obj [23 0 R 23 0 R] endobj 26 0 obj [23 0 R 23 0 R] endobj 27 0 obj [23 0 R 23 0 R] endobj 28 0 obj [23 0 R 23 0 R] endobj 29 0 obj [23 0 R 23 0 R] endobj 30 0 obj [23 0 R 23 0 R] endobj 23 0 obj <><><><><><><><><><><><>]/P 21 0 R/Pg 13 0 R/S/Article>> endobj 13 0 obj <>/ProcSet[/PDF/Text]>>/StructParents 0/Type/Page>> endobj 31 0 obj <>stream BT /Artifact <>BDC /TT0 1 Tf 9 0 0 9 5 779 Tm (01-23356.a1)Tj EMC /Artifact <>BDC 0 -86 TD (file:///usr.osd.mil/)Tj 7.166 0 Td (...)Tj (yComputer/Desktop/DOHA%20transfer/DOHA-Kane/dodogc/doha/industrial/Archi\ ved%20-%20HTML/01-23356.a1.html)Tj 50.24 0 Td ([7/2/2021 2:27:40 PM])Tj EMC ET 1 g 10 36 591.75 729.75 re f 0.604 g q 1 0 0 1 16.0002 734.2497 cm 0 0 m 0.75 -0.75 l 579 -0.75 l 579.749 0 l h f Q 0.933 g q 1 0 0 1 16.7499 733.5 cm 0 0 m -0.75 -0.75 l 579 -0.75 l 578.25 0 l h f Q 0.604 g q 1 0 0 1 16.0002 732.7503 cm 0 0 m 0.75 0.75 l 0 1.499 l h f Q 0.933 g q 1 0 0 1 594.9999 733.5 cm 0 0 m 0.75 -0.75 l 0.75 0.75 l h f Q 0.604 g q 1 0 0 1 16.0002 618.75 cm 0 0 m 0.75 -0.75 l 579 -0.75 l 579.749 0 l h f Q 0.933 g q 1 0 0 1 16.7499 618.0003 cm 0 0 m -0.75 -0.751 l 579 -0.751 l 578.25 0 l h f Q 0.604 g q 1 0 0 1 16.0002 617.2497 cm 0 0 m 0.75 0.751 l 0 1.5 l h f Q 0.933 g q 1 0 0 1 594.9999 618.0003 cm 0 0 m 0.75 -0.751 l 0.75 0.75 l h f Q /Article <>BDC EMC /Article <>BDC BT 0 g 12 0 0 12 16 749.25 Tm (DATE: November 24, 2003)Tj 0 -3.25 TD (In Re:)Tj 0 -2.125 TD (------------------)Tj T* (SSN: -----------)Tj T* (Applicant for Security Clearance)Tj 0 -3.25 TD (ISCR Case No. 01-23356)Tj /TT1 1 Tf 12.114 -2.125 Td (APPEAL BOARD DECISION AND REMAND ORDER)Tj 8.32 -2.125 Td (APPEARANCES)Tj ET 0.75 w q 1 0 0 1 261.2061 543 cm 0 0 m 89.338 0 l h S Q BT 11.25 0 0 11.25 251.0312 519 Tm (FOR GOVERNMENT)Tj /TT0 1 Tf -3.728 -2.2 Td (Rita C. O'Brien, Esq., Department Counsel)Tj /TT1 1 Tf 4.506 -2.2 Td (FOR APPLICANT)Tj /TT0 1 Tf -1.236 -2.2 Td (Thomas G. Connolly, Esq.)Tj 12 0 0 12 16 419.25 Tm (The Defense Office of Hearings and Appeals \(DOHA\) issued to Applicant \ a Statement of Reasons \(SOR\) dated August)Tj 0 -1.125 TD (9, 2002 which stated the reasons why)Tj /Span<>> BDC ( )Tj EMC 15.219 0 Td (DOHA proposed to deny or revoke access to classified information for App\ licant.)Tj -15.219 -1.125 Td (The SOR was based on Guideline E \(Personal Conduct\), Guideline D)Tj /Span<>> BDC ( )Tj EMC 28.05 0 Td (\(Sexual Behavior\), and Guideline G \(Alcohol)Tj -28.05 -1.125 Td (Consumption\). )Tj (Administrative Judge Paul J. Mason issued an unfavorable security cleara\ nce decision dated June)Tj /Span<>> BDC ( )Tj EMC 45.434 0 Td (18,)Tj -45.434 -1.125 Td (2003.)Tj 0 -2.125 TD (Applicant appealed the Administrative Judge's unfavorable decision. )Tj 27.728 0 Td (The Board has jurisdiction under Executive Order)Tj -27.728 -1.125 Td (10865 and Department of Defense)Tj /Span<>> BDC ( )Tj EMC 14.023 0 Td (Directive 5220.6 \(Directive\), dated January 2, 1992, as amended.)Tj -14.023 -2.125 Td (The following issue has been raised on appeal: whether the Administrativ\ e Judge erred by admitting into evidence, over)Tj 0 -1.125 TD (Applicant's objection, a copy of a)Tj /Span<>> BDC ( )Tj EMC 13.648 0 Td (Report of Investigation. )Tj 9.776 0 Td (For the reasons that follow, the Board remands the)Tj -23.424 -1.125 Td (Administrative Judge's decision for further processing )Tj 21.897 0 Td (consistent with the rulings)Tj /Span<>> BDC ( )Tj EMC 10.777 0 Td (and instructions set forth in this)Tj -32.674 -1.125 Td (Decision and )Tj 5.499 0 Td (Remand Order.)Tj /TT1 1 Tf 15.186 -2.125 Td (Scope of Review)Tj /TT0 1 Tf -20.685 -2.125 Td (On appeal, the Board does not review a case )Tj /TT2 1 Tf 17.993 0 Td (de novo)Tj /TT0 1 Tf (. )Tj (Rather, the Board addresses the material issues raised by the)Tj -17.993 -1.125 Td (parties to determine whether there is factual)Tj /Span<>> BDC ( )Tj EMC 17.798 0 Td (or legal error. )Tj 5.719 0 Td (There is no presumption of error below, and the appealing)Tj -23.517 -1.125 Td (party must raise claims of error with specificity and identify how the A\ dministrative)Tj /Span<>> BDC ( )Tj EMC 33.963 0 Td (Judge committed factual or legal)Tj -33.963 -1.125 Td (error. )Tj (Directive, Additional Procedural Guidance, Item E3.1.32. )Tj /TT2 1 Tf 25.797 0 Td (See also)Tj /TT0 1 Tf ( ISCR Case No. 00-0050 \(July 23, 2001\) at pp.)Tj -25.797 -1.125 Td (2-3)Tj /Span<>> BDC ( )Tj EMC (\(discussing reasons why party must raise claims of error with specifici\ ty\).)Tj 0 -2.125 TD (When the rulings or conclusions of an Administrative Judge are challenge\ d, the Board must consider whether they are:)Tj 0 -1.125 TD (\(1\) arbitrary or capricious; or \(2\))Tj /Span<>> BDC ( )Tj EMC 13.328 0 Td (contrary to law. )Tj 6.553 0 Td (Directive, Additional Procedural Guidance, Item E3.1.32.3. )Tj 24.104 0 Td (In)Tj -43.985 -1.125 Td (deciding whether the Judge's rulings or conclusions are arbitrary or cap\ ricious,)Tj /Span<>> BDC ( )Tj EMC 31.726 0 Td (the Board will review the Judge's)Tj -31.726 -1.125 Td (decision to determine whether: it does not examine relevant evidence; it\ fails to articulate a satisfactory explanation for)Tj T* (its)Tj /Span<>> BDC ( )Tj EMC (conclusions, including a rational connection between the facts found and\ the choice made; it does not consider)Tj T* (relevant factors; it reflects a clear error of)Tj /Span<>> BDC ( )Tj EMC 16.879 0 Td (judgment; it fails to consider an important aspect of the case; it offer\ s an)Tj -16.879 -1.125 Td (explanation for the decision that runs contrary to the record evidence; \ or it is so)Tj /Span<>> BDC ( )Tj EMC 32.018 0 Td (implausible that it cannot be ascribed to)Tj ET EMC endstream endobj 32 0 obj <> endobj 33 0 obj (o?bSPF/G0<) endobj 34 0 obj <> endobj 35 0 obj <> endobj 36 0 obj <> endobj 41 0 obj <> endobj 42 0 obj <>stream H\n0 y CT !M8Cc{L4B職WH_A؉XaOv U,]xu*fkO( `U5s?8] {K^! 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ISCR Case No. 00-0433 \(August 8, 2002\) at p. 6 n.3 \(a general legal\ rule cannot be relied on without considering)Tj 0 -1.125 TD (whether specific language in pertinent)Tj /Span<>> BDC ( )Tj EMC 15.521 0 Td (provision of the Directive is applicable to the particular facts and cir\ cumstances)Tj -15.521 -1.125 Td (of a case\).)Tj 0 -2.125 TD (15. )Tj (On remand, the Administrative Judge and the parties should consider whet\ her, or how, Rule 901 \("Requirement of)Tj 0 -1.125 TD (Authentication or Identification"\) of the)Tj /Span<>> BDC ( )Tj EMC 16.208 0 Td (Federal Rules of Evidence affects or interacts with Rule 803\(8\) in con\ nection)Tj -16.208 -1.125 Td (with the admissibility of a Report of Investigation.)Tj 0 -2.125 TD (16. )Tj (Under the Federal Rules of Evidence, a statement is not hearsay if it is\ an admission by a party-opponent. )Tj 43.961 0 Td (Rule)Tj -43.961 -1.125 Td (801\(d\)\(2\). )Tj (For purposes of these)Tj /Span<>> BDC ( )Tj EMC (proceedings, an applicant is a party-opponent within the meaning of Rule\ 801\(d\)\(2\).)Tj ET EMC endstream endobj 18 0 obj <>/ProcSet[/PDF/Text]>>/StructParents 5/Type/Page>> endobj 47 0 obj <>stream BT /Artifact <>BDC /TT0 1 Tf 9 0 0 9 5 779 Tm (01-23356.a1)Tj EMC /Artifact <>BDC 0 -86 TD (file:///usr.osd.mil/)Tj 7.166 0 Td (...)Tj (yComputer/Desktop/DOHA%20transfer/DOHA-Kane/dodogc/doha/industrial/Archi\ ved%20-%20HTML/01-23356.a1.html)Tj 50.24 0 Td ([7/2/2021 2:27:40 PM])Tj EMC ET 1 g 10 36 591.75 729.75 re f /Article <>BDC EMC BT /Article <>BDC 0 g 12 0 0 12 16 747 Tm (Member, Appeal Board)Tj 0 -2.125 TD (1. )Tj (The Administrative Judge entered favorable formal findings with respect \ to SOR subparagraphs 1.a through 1.c, 2.a,)Tj 0 -1.125 TD (and 3a through 3.c. )Tj 7.942 0 Td (Those favorable)Tj /Span<>> BDC ( )Tj EMC 6.719 0 Td (formal findings are not at issue on appeal.)Tj -14.662 -2.125 Td (2. )Tj ("As far in advance as practical, Department Counsel and the applicant sh\ all serve one another with a copy of any)Tj T* (pleading, proposed documentary evidence,)Tj /Span<>> BDC ( )Tj EMC 17.383 0 Td (or other written communication to be submitted to the Administrative)Tj -17.383 -1.125 Td (Judge.")Tj 0 -2.125 TD (3. )Tj ("An ROI [Report of Investigation] may be received with an authenticating\ witness provided it is otherwise admissible)Tj 0 -1.125 TD (under the Federal Rules of Evidence.")Tj 0 -2.125 TD (4. )Tj ("The Federal Rules of Evidence shall serve as a guide. )Tj 23.04 0 Td (Relevant and material evidence may be received subject to)Tj -23.04 -1.125 Td (rebuttal, and technical rules of evidence)Tj /Span<>> BDC ( )Tj EMC 16.187 0 Td (may be relaxed, except as otherwise provided herein, to permit the devel\ opment)Tj -16.187 -1.125 Td (of a full and complete record" \(citation omitted\).)Tj T* (5. )Tj (Even if a party gives a reasonable explanation for its failure to provid\ e the other party with a copy of documents at an)Tj 0 -1.125 TD (earlier time, the Administrative Judge)Tj /Span<>> BDC ( )Tj EMC 15.384 0 Td (should ascertain whether the other party is unduly surprised or hampered\ in its)Tj -15.384 -1.125 Td (ability to proceed with the hearing.)Tj 0 -2.125 TD (6. )Tj (Given the procedural posture of this case, it is not possible to determi\ ne whether Department Counsel could have)Tj 0 -1.125 TD (provided a reasonable explanation for its)Tj /Span<>> BDC ( )Tj EMC 16.55 0 Td (failure to give Applicant a copy of the Report of Investigation before t\ he)Tj -16.55 -1.125 Td (hearing. )Tj 3.499 0 Td (The Board will not speculate as to the reason\(s\) why Department Counse\ l did)Tj /Span<>> BDC ( )Tj EMC 31.298 0 Td (not provide Applicant with a)Tj -34.796 -1.125 Td (copy of the Report of Investigation before the hearing.)Tj 0 -2.125 TD (7. )Tj (When a party has been unfairly surprised, the party's ability to adequat\ ely prepare for a hearing may be prejudiced,)Tj 0 -1.125 TD (and a continuance may be required to)Tj /Span<>> BDC ( )Tj EMC 15.244 0 Td (avoid prejudicing the surprised party's right to have a reasonable oppor\ tunity to)Tj -15.244 -1.125 Td (present its case. )Tj 6.553 0 Td (Whether a continuance would be necessary or appropriate will)Tj /Span<>> BDC ( )Tj EMC 25.24 0 Td (depend, of course, on the Administrative)Tj -31.793 -1.125 Td (Judge's exercise of sound judgment and discretion after careful consider\ ation of the situation. )Tj /TT1 1 Tf 37.558 0 Td (See)Tj /TT0 1 Tf ( DISCR Case No.)Tj /Span<>> BDC ( )Tj EMC (91-)Tj -37.558 -1.125 Td (0036 \(January 27, 1993\) at pp. 3-4 \(discussing factors that Administr\ ative Judge should consider in deciding whether to)Tj T* (grant a continuance\).)Tj 0 -2.125 TD (8. )Tj (Department Counsel did not cross-appeal the Administrative Judge's findi\ ngs and conclusions concerning the rest of)Tj 0 -1.125 TD (the SOR allegations. )Tj 8.499 0 Td (Nor did)Tj /Span<>> BDC ( )Tj EMC (Department Counsel argue on appeal that the Judge's adverse decision sho\ uld be affirmed)Tj -8.499 -1.125 Td (on alternate grounds. )Tj 8.664 0 Td (Since there is no presumption of error below)Tj /Span<>> BDC ( )Tj EMC 18.106 0 Td (and the Judge's findings and conclusions about the)Tj -26.771 -1.125 Td (SOR paragraphs other than 1.d through 1.f were not challenged on appeal,\ the Judge need not allow the)Tj /Span<>> BDC ( )Tj EMC 41.627 0 Td (parties to)Tj -41.627 -1.125 Td (relitigate the other SOR paragraphs on remand.)Tj 0 -2.125 TD (9. )Tj (Directive, Additional Procedural Guidance, Item E3.1.7.)Tj T* (10. )Tj /TT1 1 Tf (Adams v. Laird)Tj /TT0 1 Tf (, 420 F.2d 230, 237-238 \(D.C. Cir. 1969\), )Tj /TT1 1 Tf (cert. denied)Tj /TT0 1 Tf 29.332 0 Td (, 397 U.S. 1039 \(1970\). )Tj /TT1 1 Tf (Accord)Tj /TT0 1 Tf ( ISCR Case No.)Tj -29.332 -1.125 Td (96-0277 \(July 11, 1997\) at p. 3.)Tj T* (11. )Tj (The Bill of Rights of the U.S. Constitution contains important constitut\ ional rights which the federal courts have)Tj 0 -1.125 TD (indicated can be waived by the persons)Tj /Span<>> BDC ( )Tj EMC 15.911 0 Td (entitled to invoke those rights, even though the Bill of Rights is silen\ t on the)Tj -15.911 -1.125 Td (matter of waiving constitutional rights. )Tj 15.831 0 Td (Since a person can choose to waive his or)Tj /Span<>> BDC ( )Tj EMC 16.912 0 Td (her constitutional rights even though)Tj -32.742 -1.125 Td (there is no )Tj 4.416 0 Td (constitutional provision expressly providing for such a waiver, it would\ be unwarranted to conclude that a)Tj -4.416 -1.125 Td (party cannot waive his or her rights under Executive Order 10865 or the \ Directive just because neither document)Tj T* (expressly provides for such a waiver.)Tj 0 -2.125 TD (12. )Tj (In pertinent part, Directive, Additional Procedural Guidance, Item E3.1.\ 20 states: "An ROI may be received with an)Tj 0 -1.125 TD (authenticating witness provided it is)Tj /Span<>> BDC ( )Tj EMC 14.692 0 Td (otherwise admissible under the Federal Rules of Evidence." )Tj 24.151 0 Td (Although Item E3.1.20)Tj -38.843 -1.125 Td (requires an authenticating witness, the Board need not decide, for purpo\ ses)Tj /Span<>> BDC ( )Tj EMC 30.241 0 Td (of addressing this appeal, who can qualify as)Tj -30.241 -1.125 Td (such an authenticating witness. )Tj 12.691 0 Td (However, the Board notes that Department Counsel's proffer about the Rep\ ort of)Tj EMC ET endstream endobj 17 0 obj <>/ProcSet[/PDF/Text]>>/StructParents 4/Type/Page>> endobj 48 0 obj [50 0 R 51 0 R] endobj 49 0 obj <>stream BT /Artifact <>BDC /TT0 1 Tf 9 0 0 9 5 779 Tm (01-23356.a1)Tj EMC /Artifact <>BDC 0 -86 TD (file:///usr.osd.mil/)Tj 7.166 0 Td (...)Tj (yComputer/Desktop/DOHA%20transfer/DOHA-Kane/dodogc/doha/industrial/Archi\ ved%20-%20HTML/01-23356.a1.html)Tj 50.24 0 Td ([7/2/2021 2:27:40 PM])Tj EMC ET 1 g 10 36 591.75 729.75 re f /Article <>BDC EMC /Article <>BDC q 10 36 592 730 re W n BT 0 g 12 0 0 12 16 755.25 Tm (Applicant also argues: \(a\) that a Report of Investigation is not a bus\ iness record, but a public record; and \(b\) therefore, a)Tj ET Q BT 0 g 12 0 0 12 16 741.75 Tm (Report of Investigation would be)Tj /Span<>> BDC ( )Tj EMC 13.47 0 Td (admissible, if at all, under Rule 803\(8\) of the Federal Rules of Evide\ nce, not Rule)Tj -13.47 -1.125 Td (803\(6\). )Tj (Department Counsel counters by arguing that a Report of)Tj /Span<>> BDC ( )Tj EMC 26.354 0 Td (Investigation is admissible as a business record,)Tj -26.354 -1.125 Td (analogizing a Report of Investigation to an adverse information report. \ )Tj 28.519 0 Td (Applicant's argument is the better one. )Tj 15.648 0 Td (A Report)Tj -44.167 -1.125 Td (of Investigation by a federal investigator is a government report and he\ nce, a public record. )Tj 36.792 0 Td (An adverse information)Tj -36.792 -1.125 Td (report, which is submitted by a)Tj /Span<>> BDC ( )Tj EMC 12.637 0 Td (defense contractor to the federal government, is a business record of a \ nongovernmental)Tj -12.637 -1.125 Td (entity. )Tj /TT1 1 Tf 2.777 0 Td (See)Tj /TT0 1 Tf ( DISCR Case No. 93-1234 \(May 19, 1995\) at pp. 3-4)Tj /Span<>> BDC ( )Tj EMC (\(discussing admissibility of an adverse information)Tj -2.777 -1.125 Td (report as a business record\). )Tj 11.44 0 Td (Accordingly, if Department Counsel wishes to have an Administrative Judg\ e)Tj /Span<>> BDC ( )Tj EMC 31.021 0 Td (admit a)Tj -42.461 -1.125 Td (Report of Investigation prepared by a federal investigator into evidence\ over the objection of an applicant, Department)Tj 0 -1.375 TD (Counsel must seek to do so)Tj /Span<>> BDC ( )Tj EMC 11.166 0 Td (under Rule 803\(8\), not Rule 803\(6\).)Tj 0 0 0.933 rg 9.75 0 0 9.75 322.9668 635.25 Tm ( \(15\))Tj ET 0 0 0.933 RG 0.75 w q 1 0 0 1 322.9668 634.5 cm 0 0 m 18.681 0 l h S Q BT 0 g 12 0 0 12 16 605.25 Tm (Finally, the Board rejects Department Counsel's alternate argument that \ the Report of Investigation is not hearsay)Tj 0 -1.125 TD (because it is a statement by the Applicant)Tj /Span<>> BDC ( )Tj EMC 16.828 0 Td (and, therefore, is admissible under Rule 801\(d\)\(2\) of the Federal Ru\ les of)Tj -16.828 -1.375 Td (Evidence.)Tj 0 0 0.933 rg 9.75 0 0 9.75 63.6426 579.75 Tm ( \(16\))Tj ET q 1 0 0 1 63.6426 579 cm 0 0 m 18.681 0 l h S Q BT 0 g 12 0 0 12 16 549.75 Tm (There is not a scintilla of record evidence to indicate or suggest that \ the)Tj /Span<>> BDC ( )Tj EMC 28.823 0 Td (Report of Investigation satisfies any of the)Tj -28.823 -1.125 Td (requirements of Rule 801\(d\)\(2\). )Tj 13.024 0 Td (Accordingly, it is untenable for Department Counsel to rely on Rule 801\(\ d\)\(2\).)Tj /TT2 1 Tf 8.743 -2.125 Td (Conclusion)Tj /TT0 1 Tf -21.767 -2.125 Td (Applicant has met his burden of demonstrating error below that warrants \ remand. )Tj 32.852 0 Td (Pursuant to Item E3.1.33.2 of the)Tj -32.852 -1.125 Td (Directive's Additional Procedural)Tj /Span<>> BDC ( )Tj EMC 13.648 0 Td (Guidance, the Board remands the case to the Administrative Judge with th\ e following)Tj -13.648 -1.125 Td (instructions: \(a\) the Judge should conduct a supplemental hearing that\ )Tj /Span<>> BDC ( )Tj EMC 28.215 0 Td (allows the parties too fully relitigate the matters)Tj -28.215 -1.125 Td (covered by SOR paragraphs 1.d through 1.f; \(b\) unless the parties elec\ t to waive their rights under Item)Tj /Span<>> BDC ( )Tj EMC 41.544 0 Td (E3.1.13, the)Tj -41.544 -1.125 Td (Judge should ensure that the parties have received copies of any pleadin\ g, proposed documentary evidence, or other)Tj T* (written communication in a)Tj /Span<>> BDC ( )Tj EMC 11.275 0 Td (timely manner, consistent with the requirements of Directive, Additional\ Procedural)Tj -11.275 -1.125 Td (Guidance, Item E3.1.13; \(c\) the Judge should allow Department Counsel)Tj /Span<>> BDC ( )Tj EMC 29.354 0 Td (the opportunity to offer the Report of)Tj -29.354 -1.125 Td (Investigation as evidence, subject to Applicant's right to object to its\ admissibility or waive any objection to its)Tj T* (admissibility; \(d\) if Applicant objects to the admissibility of the Re\ port of Investigation, the Judge should rule on the)Tj T* (admissibility of the Report of)Tj /Span<>> BDC ( )Tj EMC 12.026 0 Td (Investigation after the parties have had a reasonable opportunity to pre\ sent evidence)Tj -12.026 -1.125 Td (pertinent to the admissibility of the Report of Investigation under Dire\ ctive,)Tj /Span<>> BDC ( )Tj EMC 30.548 0 Td (Additional Procedural Guidance, Item)Tj -30.548 -1.125 Td (E3.1.20; and \(e\) after completing the supplemental hearing, the Admini\ strative Judge should issue a new written)Tj T* (decision)Tj /Span<>> BDC ( )Tj EMC 3.583 0 Td (consistent with the requirements of Directive, Additional Procedural Gui\ dance, Items E3.1.25 and E3.1.35.)Tj -3.583 -2.125 Td (Signed: Emilio Jaksetic)Tj ET 0 G q 1 0 0 1 16 297 cm 0 0 m 113.32 0 l h S Q BT 12 0 0 12 16 272.25 Tm (Emilio Jaksetic)Tj 0 -2.125 TD (Administrative Judge)Tj T* (Chairman, Appeal Board)Tj T* (Signed: Michael Y. Ra'anan)Tj ET q 1 0 0 1 16 195 cm 0 0 m 134.795 0 l h S Q BT 12 0 0 12 16 170.25 Tm (Michael Y. Ra'anan)Tj T* (Administrative Judge)Tj T* (Member, Appeal Board)Tj T* (Signed: Jeffrey D. Billett)Tj ET q 1 0 0 1 16 93 cm 0 0 m 120.645 0 l h S Q BT 12 0 0 12 16 68.25 Tm (Jeffrey D. Billett)Tj T* (Administrative Judge)Tj ET EMC endstream endobj 50 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[323.0 633.0 341.0 644.0]/Subtype/Link/Type/Annot>> endobj 51 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[63.0 577.0 81.0 588.0]/Subtype/Link/Type/Annot>> endobj 16 0 obj <>/ProcSet[/PDF/Text]>>/StructParents 3/Type/Page>> endobj 52 0 obj [54 0 R 55 0 R 56 0 R 57 0 R 58 0 R 59 0 R 60 0 R] endobj 53 0 obj <>stream BT /Artifact <>BDC /TT0 1 Tf 9 0 0 9 5 779 Tm (01-23356.a1)Tj EMC /Artifact <>BDC 0 -86 TD (file:///usr.osd.mil/)Tj 7.166 0 Td (...)Tj (yComputer/Desktop/DOHA%20transfer/DOHA-Kane/dodogc/doha/industrial/Archi\ ved%20-%20HTML/01-23356.a1.html)Tj 50.24 0 Td ([7/2/2021 2:27:40 PM])Tj EMC ET 1 g 10 36 591.75 729.75 re f /Article <>BDC EMC /Article <>BDC q 10 36 592 730 re W n BT 0 g 12 0 0 12 16 755.25 Tm (particular facts and circumstances of this)Tj /Span<>> BDC ( )Tj EMC 16.604 0 Td (case; and \(b\) given the record evidence in this case, the Board does n\ ot)Tj ET Q BT 0 g 12 0 0 12 16 741.75 Tm (conclude that the Administrative Judge's findings and conclusions about \ SOR)Tj /Span<>> BDC ( )Tj EMC 31.342 0 Td (paragraphs 1.d through 1.f can be)Tj -31.342 -1.125 Td (affirmed on the basis of record evidence apart from the Report of Invest\ igation. )Tj 32.044 0 Td (Our reading of the decision below)Tj -32.044 -1.125 Td (persuades)Tj /Span<>> BDC ( )Tj EMC (us that the Administrative Judge's findings and conclusions about Applic\ ant's credibility and SOR paragraphs)Tj 0 -1.125 TD (1.d through 1.f relied heavily on the Report of)Tj /Span<>> BDC ( )Tj EMC 18.69 0 Td (Investigation. )Tj 5.721 0 Td (The Board declines to speculate as to what findings the)Tj -24.411 -1.125 Td (Judge might have made, or what conclusions the Judge might have reached,\ if the Report)Tj /Span<>> BDC ( )Tj EMC 35.907 0 Td (of Investigation had not been)Tj -35.907 -1.125 Td (admitted into evidence.)Tj 0 -2.125 TD (Having decided that Applicant's rights under Directive, Additional Proce\ dural Guidance, )Tj 35.781 0 Td (Item E3.1.13 were violated,)Tj -35.781 -1.125 Td (the Board must decide whether the error)Tj /Span<>> BDC ( )Tj EMC 16.355 0 Td (identified by Applicant warrants remand or reversal. )Tj 21.214 0 Td (Considering the record as)Tj -37.569 -1.125 Td (a whole, the Board concludes that reversal would not be an appropriate r\ emedy. )Tj 32.183 0 Td (Rather, the appropriate remedy would)Tj -32.183 -1.125 Td (be to remand the case to the Administrative Judge with instructions to r\ eopen the record and allow the parties to)Tj 0 -1.125 TD (relitigate)Tj /Span<>> BDC ( )Tj EMC 3.804 0 Td (those portions of the SOR that were affected by Department Counsel's fai\ lure to comply with Item E3.1.13,)Tj -3.804 -1.375 Td (that is SOR paragraphs 1.d through 1.f.)Tj 0 0 0.933 rg 9.75 0 0 9.75 204.3086 582.75 Tm ( \(8\))Tj ET 0 0 0.933 RG 0.75 w q 1 0 0 1 204.3086 582 cm 0 0 m 13.806 0 l h S Q BT 0 g 12 0 0 12 16 552.75 Tm (On remand, the admissibility of Government Exhibit 13 will be again at i\ ssue. )Tj 31.522 0 Td (Although the parties have made)Tj -31.522 -1.125 Td (arguments on appeal concerning the)Tj /Span<>> BDC ( )Tj EMC 14.689 0 Td (admissibility of that document, the )Tj 14.165 0 Td (procedural posture of the proceedings below has)Tj -28.854 -1.125 Td (left the record insufficiently developed to allow the Board to reach a f\ inal)Tj /Span<>> BDC ( )Tj EMC 29.683 0 Td (conclusion as to the admissibility of that)Tj -29.683 -1.125 Td (document. )Tj 4.443 0 Td (However, as a matter of judicial economy, the Board will address those a\ ppeal arguments raised by the)Tj -4.443 -1.125 Td (parties which raise legal questions that can be disposed of now and do n\ ot require the further development of the record)Tj T* (on remand.)Tj 0 -2.375 TD (The right to object to a Report of Investigation can be waived by either\ party. 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admissibility of a Report of Investigation, there was no)Tj -22.966 -1.125 Td (waiver. )Tj (Accordingly, the admissibility of Government Exhibit 13 was an issue bef\ ore the)Tj /Span<>> BDC ( )Tj EMC 35.908 0 Td (Administrative Judge in this)Tj -35.908 -1.125 Td (case and is an issue before the Board in this appeal.)Tj 0 -2.125 TD (Applicant argues that a Report of Investigation is admissible only under\ Directive, Additional Procedural Guidance,)Tj 0 -1.375 TD (Item E3.1.20)Tj 0 0 0.933 rg 9.75 0 0 9.75 78.3203 282.75 Tm ( \(12\))Tj ET q 1 0 0 1 78.3203 282 cm 0 0 m 18.681 0 l h S Q BT 0 g 12 0 0 12 16 252.75 Tm (and that an Administrative)Tj /Span<>> BDC ( )Tj EMC 10.886 0 Td (Judge cannot rule a Report of Investigation is admissible under Directiv\ e, Additional)Tj -10.886 -1.375 Td (Procedural Guidance, Item E3.1.19.)Tj 0 0 0.933 rg 9.75 0 0 9.75 188.2773 240.75 Tm ( \(13\))Tj ET q 1 0 0 1 188.2773 240 cm 0 0 m 18.681 0 l h S Q BT 0 g 12 0 0 12 16 210.75 Tm (That argument is persuasive for)Tj /Span<>> BDC ( )Tj EMC 12.913 0 Td (several reasons. )Tj (First, as a general principle, a specific legal rule takes precedence ov\ er)Tj -12.913 -1.375 Td (a general legal rule.)Tj 0 0 0.933 rg 9.75 0 0 9.75 110.6113 198.75 Tm ( \(14\))Tj ET q 1 0 0 1 110.6113 198 cm 0 0 m 18.681 0 l h S Q BT 0 g 12 0 0 12 16 168.75 Tm (Second, Item E3.1.19 expressly indicates that)Tj /Span<>> BDC ( )Tj EMC 18.468 0 Td (the technical rules of evidence may be relaxed "except as otherwise)Tj -18.468 -1.125 Td (provided herein." )Tj 7.211 0 Td (Given the wording of Item E3.1.20, it is an exception to Item E3.1.19)Tj /Span<>> BDC ( )Tj EMC 28.05 0 Td (with respect to Reports of)Tj -35.261 -1.125 Td (Investigation. )Tj 5.721 0 Td (Third, if a Judge were to apply Item E3.1.19 to avoid or circumvent the \ stricture of Item E3.1.20)Tj -5.721 -1.125 Td (concerning Reports)Tj /Span<>> BDC ( )Tj EMC 8.053 0 Td (of Investigation, the Judge would be acting inconsistently with Section \ 5.\(a\) of Executive Order)Tj -8.053 -1.125 Td (10865. )Tj (Fourth, allowing a Judge to use Item E3.1.19 to admit a)Tj /Span<>> BDC ( )Tj EMC 25.497 0 Td (Report of Investigation not admissible under Item)Tj -25.497 -1.125 Td (E3.1.20 would render Item E3.1.20 meaningless, and Board has declined to\ interpret or construe the Directive)Tj /Span<>> BDC ( )Tj EMC 44.237 0 Td (in a way)Tj -44.237 -1.125 Td (that renders any of its provisions meaningless. )Tj /TT1 1 Tf 18.774 0 Td (See, e.g.)Tj /TT0 1 Tf (, ISCR Case No. 01-24356 \(February 26, 2003\) at pp. 4-5. )Tj /TT1 1 Tf (See)Tj -18.774 -1.125 Td (also)Tj /TT0 1 Tf ( ISCR Case No. 00-0104)Tj /Span<>> BDC ( )Tj EMC (\(March 21, 2001\) at p.7 \("Provisions of the Directive should not be i\ nterpreted and)Tj 0 -1.125 TD (construed in isolation from other pertinent provisions of the Directive.\ "\).)Tj ET EMC endstream endobj 54 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[204.0 580.0 218.0 591.0]/Subtype/Link/Type/Annot>> endobj 55 0 obj <>/BS<>/Border[0 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591.75 729.75 re f /Article <>BDC EMC /Article <>BDC BT 0 g 12 0 0 12 16 742.5 Tm (\(d\) by erroneously admitting the Report of Investigation under the bus\ iness record exception of the Federal Rules of)Tj 0 -1.125 TD (Evidence, the Administrative Judge's)Tj /Span<>> BDC ( )Tj EMC 15.093 0 Td (ruling was contrary to law; and)Tj -15.093 -2.125 Td (\(e\) the Administrative Judge's erroneous admission of the Report of In\ vestigation cannot be validated by the exercise of)Tj 0 -1.375 TD (discretion under Directive, Additional)Tj /Span<>> BDC ( )Tj EMC 15.468 0 Td (Procedural Guidance, Item E3.1.19.)Tj 0 0 0.933 rg 9.75 0 0 9.75 373.8906 691.5 Tm ( \(4\))Tj ET 0 0 0.933 RG 0.75 w q 1 0 0 1 373.8906 690.75 cm 0 0 m 13.806 0 l h S Q BT 0 g 12 0 0 12 16 661.5 Tm (In response, Department Counsel argues:)Tj 0 -2.125 TD (\(i\) the Administrative Judge properly admitted the Report of Investiga\ tion under Directive, Additional Procedural)Tj 0 -1.125 TD (Guidance, Item E3.1.20 because \(a\) the)Tj /Span<>> BDC ( )Tj EMC 16.021 0 Td (Special Agent who wrote the Report of Investigation was cross-examined a\ t the)Tj -16.021 -1.125 Td (hearing; \(b\) the Report of Investigation was properly admitted under t\ he)Tj /Span<>> BDC ( )Tj EMC 29.13 0 Td (business record exception to the Federal Rules)Tj -29.13 -1.125 Td (of Evidence, and \(c\) in the alternative, the Report of Investigation i\ s not hearsay under Federal Rule of Evidence)Tj /Span<>> BDC ( )Tj EMC 45.29 0 Td (801\(d\))Tj -45.29 -1.125 Td (\(2\); and)Tj 0 -2.125 TD (\(ii\) in the alternative, if the Board concludes that the Administrativ\ e Judge erred by admitting the Report of)Tj 0 -1.125 TD (Investigation into evidence, the error was harmless)Tj /Span<>> BDC ( )Tj EMC 20.604 0 Td (because there is record evidence \(other than the Report of)Tj -20.604 -1.125 Td (Investigation\) that supports the Administrative Judge's findings and co\ nclusions under SOR)Tj /Span<>> BDC ( )Tj EMC 36.981 0 Td (paragraphs 1.d through 1.f.)Tj -36.981 -2.125 Td (For the reasons that follow, the Board concludes Applicant has demonstra\ ted harmful error below.)Tj 0 -2.125 TD (Applicant correctly notes that Department Counsel was legally obligated \ to provide Applicant with a copy of any)Tj 0 -1.125 TD (proposed documentary evidence "[a]s far in)Tj /Span<>> BDC ( )Tj EMC 17.734 0 Td (advance as practical." )Tj 8.958 0 Td (Directive, Additional Procedural Guidance, Item)Tj -26.693 -1.125 Td (E3.1.13. )Tj (Absent unusual or unforeseen circumstances, neither party should fail to\ )Tj /Span<>> BDC ( )Tj EMC 32.797 0 Td (provide the other party with a copy of)Tj -32.797 -1.125 Td (a proposed exhibit in a timely manner. )Tj 15.663 0 Td (Although DOHA proceedings are adversarial in nature, they are not suppos\ ed to)Tj -15.663 -1.125 Td (be "hearing by ambush." )Tj (When a party fails to provide the other party with a copy of a proposed \ exhibit before the)Tj T* (hearing, and there is an objection to the)Tj /Span<>> 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(Item E3.1.13. )Tj 5.693 0 Td (A Judge should not allow "hearing by ambush" or the appearance of "heari\ ng by ambush.")Tj 0 0 0.933 rg 9.75 0 0 9.75 518.8047 331.5 Tm ( \(5\))Tj ET q 1 0 0 1 518.8047 330.75 cm 0 0 m 13.806 0 l h S Q BT 0 g 12 0 0 12 16 301.5 Tm (In this case, Department Counsel did not offer an explanation for why sh\ e did not provide Applicant with a copy of the)Tj T* (Report of Investigation before the)Tj /Span<>> BDC ( )Tj EMC 13.801 0 Td (hearing, and the Administrative Judge did not require Department Counsel\ to give an)Tj -13.801 -1.125 Td (explanation even though Applicant objected that the Report of)Tj /Span<>> BDC ( )Tj EMC 25.187 0 Td (Investigation had not been given to him before the)Tj -25.187 -1.125 Td (hearing. )Tj 3.499 0 Td (Given Applicant's objection, the Judge's failure to require Department C\ ounsel to give an)Tj /Span<>> BDC ( )Tj EMC 35.962 0 Td (explanation was)Tj -39.46 -1.375 Td (arbitrary and capricious and a violation of Item E3.1.10.)Tj 0 0 0.933 rg 9.75 0 0 9.75 285.5781 249 Tm ( \(6\))Tj ET q 1 0 0 1 285.5781 248.25 cm 0 0 m 13.806 0 l h S Q BT 0 g 12 0 0 12 16 219 Tm (The purpose of Directive, Additional Procedural Guidance, Item E3.1.13 i\ s not to ensure that only admissible)Tj T* (documents are entered into evidence. )Tj 15.104 0 Td (Rather, the)Tj /Span<>> BDC ( )Tj EMC 4.637 0 Td (purpose of Item E3.1.13 is to provide the parties with a reasonable)Tj -19.742 -1.375 Td (opportunity to prepare for a hearing, and to avoid undue surprise and ne\ edless delay.)Tj 0 0 0.933 rg 9.75 0 0 9.75 422.207 193.5 Tm ( \(7\))Tj ET q 1 0 0 1 422.207 192.75 cm 0 0 m 13.806 0 l h S Q BT 0 g 12 0 0 12 16 163.5 Tm (A)Tj /Span<>> BDC ( )Tj EMC (party's right to have a reasonable opportunity to prepare for a hearing \ does not turn on whether the documentary)Tj T* (evidence presented by the other party is)Tj /Span<>> BDC ( )Tj EMC 16.133 0 Td (determined to be admissible. )Tj 11.747 0 Td (Accordingly, a violation of Item E3.1.13 is not)Tj -27.88 -1.125 Td (cured by a subsequent ruling \(by an Administrative Judge or the Board\)\ that a)Tj /Span<>> BDC ( )Tj EMC 31.381 0 Td (document not provided to a party in a)Tj -31.381 -1.125 Td (timely manner is otherwise admissible.)Tj 0 -2.125 TD (Department Counsel argues that even if the Board were to conclude that t\ he Administrative Judge erred by admitting)Tj 0 -1.125 TD (into evidence the Report of Investigation,)Tj /Span<>> BDC ( )Tj EMC 16.856 0 Td (the Board should conclude such an error was harmless. )Tj 22.271 0 Td (The Board rejects that)Tj -39.128 -1.125 Td (argument for two reasons: \(a\) although Department Counsel's reliance o\ n record)Tj /Span<>> BDC ( )Tj EMC 32.364 0 Td (evidence apart from the Report of)Tj -32.364 -1.125 Td (Investigation is pertinent to its argument about the evidentiary value o\ f that document, it is not relevant to the prejudice)Tj T* (Applicant suffered as a result of the violation of Directive, Additional\ Procedural Guidance, Item E3.1.13 under the)Tj ET EMC endstream endobj 63 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[374.0 689.0 388.0 700.0]/Subtype/Link/Type/Annot>> endobj 64 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[519.0 329.0 533.0 340.0]/Subtype/Link/Type/Annot>> endobj 65 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[285.0 246.0 299.0 257.0]/Subtype/Link/Type/Annot>> endobj 66 0 obj <>/BS<>/Border[0 0 0]/PA<>/Rect[422.0 191.0 436.0 202.0]/Subtype/Link/Type/Annot>> endobj 14 0 obj <>/ProcSet[/PDF/Text]>>/StructParents 1/Type/Page>> endobj 67 0 obj [69 0 R 70 0 R 71 0 R] endobj 68 0 obj <>stream BT /Artifact <>BDC /TT0 1 Tf 9 0 0 9 5 779 Tm (01-23356.a1)Tj EMC /Artifact <>BDC 0 -86 TD (file:///usr.osd.mil/)Tj 7.166 0 Td (...)Tj (yComputer/Desktop/DOHA%20transfer/DOHA-Kane/dodogc/doha/industrial/Archi\ ved%20-%20HTML/01-23356.a1.html)Tj 50.24 0 Td ([7/2/2021 2:27:40 PM])Tj EMC ET 1 g 10 36 591.75 729.75 re f /Article <>BDC EMC /Article <>BDC q 10 36 592 730 re W n BT 0 g 12 0 0 12 16 755.25 Tm (a mere difference of opinion. )Tj /TT1 1 Tf 11.883 0 Td (See, e.g.)Tj /TT0 1 Tf 3.332 0 Td (,)Tj /TT1 1 Tf ( )Tj /TT0 1 Tf (ISCR Case No. 97-0435 \(July 14, 1998\) at p. 3 \(citing Supreme Court)Tj /Span<>> BDC ( )Tj EMC 28.72 0 Td (decision\).)Tj ET Q BT 0 g 12 0 0 12 16 741.75 Tm (In deciding whether the Judge's rulings or conclusions are contrary to l\ aw, the Board will consider whether they are)Tj 0 -1.125 TD (contrary to provisions of)Tj /Span<>> BDC ( )Tj EMC 10.109 0 Td (Executive Order 10865, the Directive, or other applicable federal law. )Tj 28.238 0 Td (Compliance with state)Tj -38.347 -1.125 Td (or local law is not required because security clearance)Tj /Span<>> BDC ( )Tj EMC 21.851 0 Td (adjudications are conducted by the Department of Defense)Tj -21.851 -1.125 Td (pursuant to federal law. )Tj /TT1 1 Tf 9.691 0 Td (See)Tj /TT0 1 Tf ( U.S. Constitution, Article VI, clause 2 \(Supremacy Clause\). )Tj /TT1 1 Tf 25.828 0 Td (See, e.g.)Tj /TT0 1 Tf (,)Tj /Span<>> BDC ( )Tj EMC (ISCR Case No. 00-)Tj -35.519 -1.125 Td (0423 \(June 8, 2001\) at p. 3 \(citing Supreme Court decisions\).)Tj 0 -2.125 TD (When an Administrative Judge's factual findings are challenged, the Boar\ d must determine whether "[t]he)Tj 0 -1.125 TD (Administrative Judge's findings of fact are supported)Tj /Span<>> BDC ( )Tj EMC 21.425 0 Td (by such relevant evidence as a reasonable mind might accept as)Tj -21.425 -1.125 Td (adequate to support a conclusion in light of all the contrary evidence i\ n the same record. )Tj 35.516 0 Td (In)Tj /Span<>> BDC ( )Tj EMC (making this review, the)Tj -35.516 -1.125 Td (Appeal Board shall give deference to the credibility determinations of t\ he Administrative Judge." )Tj 39.174 0 Td (Directive, Additional)Tj -39.174 -1.125 Td (Procedural)Tj /Span<>> BDC ( )Tj EMC 4.582 0 Td (Guidance, Item E3.1.32.1. )Tj 10.775 0 Td (The Board must consider not only whether there is record evidence suppor\ ting a)Tj -15.356 -1.125 Td (Judge's findings, but also whether there is evidence)Tj /Span<>> BDC ( )Tj EMC 20.758 0 Td (that fairly detracts from the weight of the evidence supporting those)Tj -20.758 -1.125 Td (findings, and whether the Judge's findings reflect a reasonable interpre\ tation of the record)Tj /Span<>> BDC ( )Tj EMC 36.112 0 Td (evidence as a whole.)Tj -36.112 -1.125 Td (Although a Judge's credibility determination is not immune from review, \ the party challenging a Judge's credibility)Tj T* (determination has a)Tj /Span<>> BDC ( )Tj EMC 8.081 0 Td (heavy burden on appeal.)Tj -8.081 -2.125 Td (When an appeal issue raises a question of law, the Board's scope of revi\ ew is plenary. )Tj /TT1 1 Tf 34.558 0 Td (See)Tj /TT0 1 Tf ( DISCR Case No. 87-2107)Tj -34.558 -1.125 Td (\(September 29, 1992\) at pp. 4-5 \(citing)Tj /Span<>> BDC ( )Tj EMC 15.857 0 Td (federal cases\).)Tj -15.857 -2.125 Td (If an appealing party demonstrates factual or legal error, then the Boar\ d must consider the following questions:)Tj 0 -2.125 TD (Is the error harmful or harmless? )Tj /TT1 1 Tf 13.384 0 Td (See, e.g.)Tj /TT0 1 Tf 3.332 0 Td (, ISCR Case No. 00-0250 \(July 11, 2001\) at p. 6 \(discussing harmless \ error)Tj -16.715 -1.125 Td (doctrine\);)Tj T* (Has the nonappealing party made a persuasive argument for how the Admini\ strative Judge's decision can be affirmed on)Tj 0 -1.125 TD (alternate grounds? )Tj /TT1 1 Tf 7.608 0 Td (See, e.g.)Tj /TT0 1 Tf 3.332 0 Td (, ISCR)Tj /Span<>> BDC ( )Tj EMC (Case No. 99-0454 \(October 17, 2000\) at p. 6 \(citing federal cases\); \ and)Tj -10.939 -2.125 Td (If the Administrative Judge's decision cannot be affirmed, should the ca\ se be reversed or remanded? )Tj 40.333 0 Td (\(Directive,)Tj -40.333 -1.125 Td (Additional Procedural Guidance, Items)Tj /Span<>> BDC ( )Tj EMC 15.912 0 Td (E3.1.33.2 and E3.1.33.3\))Tj /TT2 1 Tf 4.932 -2.375 Td (Appeal Issue)Tj 0 0 0.933 rg /TT0 1 Tf 9.75 0 0 9.75 331.8137 348.75 Tm ( \(1\))Tj ET 0 0 0.933 RG 0.75 w q 1 0 0 1 331.8137 348 cm 0 0 m 13.806 0 l h S Q BT 0 g 12 0 0 12 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