ISCR Case 15-00496.h1

Case Headnote

ISCR Case No. 15-00496.h1

grantedJun 13, 2016· Hon. Michael H. Leonard· hearing

Summary

This case involved a 46-year-old senior software developer and consultant seeking a public trust position, with eligibility concerns under Guideline B (Foreign Influence). The Statement of Reasons cited the applicant's family ties in India, including his father, three siblings, and parents-in-law, all of whom are citizens and residents of India. One brother is a tax commissioner for the Indian federal government, and another is an auditor for the same government, scheduled to retire soon. His father-in-law was a civil engineer for an Indian state government before retiring. The applicant also maintained a small bank account in India, which held less than $1,000 USD as of September 2015, though it had previously reached $20,000.

Disqualifying conditions under Guideline B, specifically AG ¶ 7(a) and AG ¶ 7(b), were raised due to these foreign connections. However, mitigating conditions AG ¶ 8(a) and AG ¶ 8(b) were applied.

The judge ultimately GRANTED the applicant's eligibility. The decision emphasized that the applicant is a naturalized U.S. citizen with strong family and financial ties within the U.S. He closed his small Indian bank account, which was not considered a significant financial asset. The judge concluded that the applicant's ties to the U.S. outweighed his ties to India, effectively mitigating the foreign influence concerns.

Why the Applicant Prevailed

The applicant is a naturalized U.S. citizen with strong family ties in the U.S.
He closed his small bank account in India, which was not a significant financial asset.
The applicant's ties to the U.S. outweighed his ties to India, mitigating foreign influence concerns.

Conditions Referenced

Disqualifying

AG ¶ 7(a)raisedContact with Foreign Family MembersThe applicant has family members who are citizens and residents of India.
AG ¶ 7(b)raisedConnections to Foreign PersonsThe applicant's family ties to India raised concerns about potential conflicts of interest.

Mitigating

AG ¶ 8(a)appliedNature of Relationships with Foreign PersonsThe applicant's relationships with family in India are unlikely to create a conflict of interest.
AG ¶ 8(b)appliedMinimal Conflict of InterestThe applicant's deep ties to the U.S. and lack of significant financial interests in India mitigate concerns.

Key Rule Quoted

“This process is not a zero-risk program, because nearly every person presents some risk or concern.”

Procedural Posture

SOR issuedAug 20, 2015
Answer filedSep 3, 2015
Hearing heldJan 5, 2016
Decision dateJun 13, 2016

Cite For

Mitigation of Foreign Influence Concerns Under Guideline B
Importance of U.S. Citizenship and Family Ties in Security Clearance Cases
Consideration of Financial Interests in Foreign Countries

Editorial summary generated for research. Not legal advice; not a prediction. Verify against the full decision before relying on any quoted language.

¶	Allegation	Finding	Relationship	Country	Response	Disqualifying (¶7)	Mitigating applied (¶8)	Mitigation
1.a	Applicant’s mother passed away in 2014. Formerly, she was a lifelong citizen of and resident in India.	For Applicant	Parent in Foreign Country Immediate Family	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.b	His father is a citizen of and resident in India.	For Applicant	Parent in Foreign Country Immediate Family	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.c	Applicant has three siblings who are citizens of and residents in India.	For Applicant	Sibling in Foreign Country Immediate Family	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.d	His sister is married, not employed outside of the home, and her husband works as a farmer.	For Applicant	Sibling in Foreign Country Immediate Family	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.e	His two brothers both work in the general field of accounting. One brother is employed as a tax commissioner for the federal or central government of India. The other brother is employed as an auditor for the federal or central government of India, but he is scheduled to retire this summer.	For Applicant	Sibling in Foreign Country Immediate Family GOVT-AFFILIATED	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.f	Based on his marriage, Applicant has parents-in-law who are citizens of and residents in India.	For Applicant	In Law in Foreign Country Immediate Family	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.g	His father-in-law is now retired, but he was employed as a civil engineer for an Indian state government. His mother-in-law has not been employed outside the home.	For Applicant	In Law in Foreign Country Immediate Family GOVT-AFFILIATED	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Credited Deep U.S. Ties
1.h	Applicant has had a small bank account in India. In his answer to the SOR, he explained that the account had a balance of less than $1,000 USD as of September 2015, although the balance was as high as $20,000.	For Applicant	Foreign Bank Account or Investment Financial or Property Interest	India HEIGHTENED RISK	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation (b) connections creating a potential conflict of interest	(a) relationships such that a conflict between foreign and U.S. interests is unlikely (b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.	Documented Foreign Assets Divested

Allegation

Finding

Relationship

Country

Response

Disqualifying (¶7)

Mitigating applied (¶8)

Mitigation

1.a

Applicant’s mother passed away in 2014. Formerly, she was a lifelong citizen of and resident in India.

For Applicant

Parent in Foreign Country

Immediate Family

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.b

His father is a citizen of and resident in India.

For Applicant

Parent in Foreign Country

Immediate Family

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.c

Applicant has three siblings who are citizens of and residents in India.

For Applicant

Sibling in Foreign Country

Immediate Family

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.d

His sister is married, not employed outside of the home, and her husband works as a farmer.

For Applicant

Sibling in Foreign Country

Immediate Family

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.e

His two brothers both work in the general field of accounting. One brother is employed as a tax commissioner for the federal or central government of India. The other brother is employed as an auditor for the federal or central government of India, but he is scheduled to retire this summer.

For Applicant

Sibling in Foreign Country

Immediate Family

GOVT-AFFILIATED

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.f

Based on his marriage, Applicant has parents-in-law who are citizens of and residents in India.

For Applicant

In Law in Foreign Country

Immediate Family

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.g

His father-in-law is now retired, but he was employed as a civil engineer for an Indian state government. His mother-in-law has not been employed outside the home.

For Applicant

In Law in Foreign Country

Immediate Family

GOVT-AFFILIATED

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Credited

Deep U.S. Ties

1.h

Applicant has had a small bank account in India. In his answer to the SOR, he explained that the account had a balance of less than $1,000 USD as of September 2015, although the balance was as high as $20,000.

For Applicant

Foreign Bank Account or Investment

Financial or Property Interest

India

HEIGHTENED RISK

Unknown

(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation

(b) connections creating a potential conflict of interest

(a) relationships such that a conflict between foreign and U.S. interests is unlikely

(b) deep/longstanding U.S. loyalties; conflict resolves in favor of the U.S.

Documented

Foreign Assets Divested

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Case Profile

Summary

Why the Applicant Prevailed

Conditions Referenced

Key Rule Quoted

Procedural Posture

Cite For

Full decision

DEFENSE OFFICE OF HEARINGS AND APPEALS

HEARING

APPEARANCES

STATEMENT OF CASE

PROCEDURAL MATTERS

FINDINGS OF FACT

DISCUSSION

FORMAL FINDINGS

CONCLUSION

FOOTNOTES