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ISCR Case 02-13932.h1 — CASE

ISCR Case 02-13932.h1denied

Case Headnote

ISCR Case No. 02-13932.h1

deniedJan 8, 2004· Hon. Darlene Lokey Anderson· hearing

Summary

A 46-year-old applicant, holding dual citizenship with Taiwan and the United States and possessing a master's degree in Engineering, was denied a security clearance for a defense contractor position. The denial was based on concerns under Guideline B (Foreign Influence) and Guideline C (Foreign Preference).

Specifically, the applicant's dual citizenship with Taiwan and his possession of a Republic of China passport were identified as disqualifying conditions under Guideline C. It was noted that he used his foreign citizenship to protect financial or business interests in Taiwan, and this concern was not mitigated.

Furthermore, the applicant's immediate family, including his mother, three brothers, and a sister, are citizens and residents of Taiwan. He contacts his mother several times annually, and the frequency of contact with his siblings was not established. These foreign family ties raised unmitigated concerns regarding potential foreign influence under Guideline B, ultimately leading to the denial of his security clearance.

Why the Applicant Was Denied

The applicant's dual citizenship with Taiwan raised security concerns under Guideline C.
Possession of a foreign passport to protect financial interests in Taiwan was not mitigated.
Foreign contacts with immediate family members in Taiwan created potential for foreign influence under Guideline B.

Conditions Referenced

Disqualifying

C1raisedExercise of Dual Citizenship
C2raisedPossession And/or Use of a Foreign Passport
C6raisedUsing Foreign Citizenship to Protect Financial or Business Interests in Another Country
B1raisedAn Immediate Family Member Is a Citizen of a Foreign Country

Key Rule Quoted

“The mere possession of a foreign passport raises legitimate questions as to whether the Applicant can be counted upon to place the interests of the United States paramount to that of another nation.”

Procedural Posture

SOR issuedJul 8, 2003
Answer filedJul 29, 2003Applicant elected to have the case determined on a written record.
Hearing held—No hearing; case determined on written record.
Decision dateJan 8, 2004

Cite For

Security Concerns Related to Dual Citizenship Under Guideline C
Impact of Foreign Passport Possession on Security Clearance Eligibility
Potential for Foreign Influence Due to Family Ties in a Foreign Country Under Guideline B

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

Standardized Decision Profile

SEAD-4 Guideline B (Foreign Influence) · descriptive summary of a decided case

Posture: Decision on RecordDecided: denied

The judge found that the applicant's foreign contacts, specifically his immediate family members who are citizens of Taiwan, create a potential for foreign influence that could compromise classified information. The applicant did not demonstrate that these ties were infrequent or casual, leading to a denial of his security clearance under Guideline B.

¶	Allegation	Finding	Relationship	Country	Response	Disqualifying (¶7)	Mitigating applied (¶8)	Mitigation
2.a	The Applicant's mother, three brothers and a sister are citizens of Taiwan and reside there.	Against Applicant	Parent in Foreign Country Immediate Family	Taiwan	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation	—	—
2.b	The Applicant contacts his mother several times annually, usually by telephone.	Against Applicant	Parent in Foreign Country Immediate Family	Taiwan	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation	—	—
2.c	There is no evidence in the record as to the frequency of contacts he has, if any, with his three brothers and sister.	Against Applicant	Unspecified Foreign Relationship Immediate Family	Taiwan	Unknown	(a) contact with a foreign family member/associate/friend creating a heightened risk of exploitation	—	—

Descriptive standardized rendering of a decided public case (Guideline B). The verbatim source decision is shown in full below.

Standardized Decision Profile

SEAD-4 Guideline C (Foreign Preference) · descriptive summary of a decided case

Posture: Decision on RecordDecided: denied

The applicant's dual citizenship and possession of a foreign passport were significant concerns under Guideline C. The judge found that the applicant's actions indicated a preference for Taiwan over the United States, leading to a denial of the security clearance.

¶	Allegation	Finding	Type	Response	Disqualifying (¶10)	Mitigating applied (¶11)	Mitigation
1.a	The applicant is a dual citizen of Taiwan and the United States.	Against Applicant	Foreign Citizenship Acquisition or Application	Admitted	(a) applying for and/or acquiring citizenship in any other country (b) failure to report, or fully disclose when required, possession of a passport or identity card issued by any country other than the U.S. (c) failure to use a U.S. passport when entering or exiting the U.S.	—	—
1.b	The applicant possesses a passport from the Republic of China.	Against Applicant	Foreign Passport Possession or Use	Admitted	(a) applying for and/or acquiring citizenship in any other country (b) failure to report, or fully disclose when required, possession of a passport or identity card issued by any country other than the U.S. (c) failure to use a U.S. passport when entering or exiting the U.S.	—	—
1.c	The applicant uses foreign citizenship to protect financial or business interests in another country.	Against Applicant	Foreign Benefits or Education	Admitted	(a) applying for and/or acquiring citizenship in any other country (b) failure to report, or fully disclose when required, possession of a passport or identity card issued by any country other than the U.S. (c) failure to use a U.S. passport when entering or exiting the U.S.	—	—
2.a–2.c	3 sub-charges — specific text not stated in this decision (rulings shown). (low confidence)	Mixed			—	—	—

Descriptive standardized rendering of a decided public case (Guideline C). The verbatim source decision is shown in full below.

Full decision

The complete, official text — footnotes and signatures included — is in the original PDF.

Decision text, by section

DEFENSE OFFICE OF HEARINGS AND APPEALS

HEARING

APPEARANCES

DATE: January 8, 2004

In Re:

-----------------------

SSN: ----------------

Applicant for Security Clearance

ISCR Case No. 02-13932

DECISION OF ADMINISTRATIVE JUDGE

DARLENE LOKEY ANDERSON

SYNOPSIS

Applicant's exercise of dual citizenship, his possession of a foreign passport to protect his foreign financial interests, and his foreign contacts have not been mitigated. Clearance is denied.

STATEMENT OF CASE

On July 8, 2003, the Defense Office of Hearings and Appeals (DOHA), pursuant to Executive Order 10865 (as amended), and Department of Defense Directive 5220.6 (Directive), dated January 2, 1992, issued a Statement of Reasons (SOR) to the Applicant, which detailed the reasons why DOHA could not make the preliminary affirmative finding under the Directive that it is clearly consistent with the national interest to grant or continue a security clearance for the Applicant and recommended referral to an Administrative Judge to determine whether a clearance should be denied or revoked.

The Applicant responded to the SOR in writing on July 29, 2003, in which he elected to have the case determined on a written record in lieu of a hearing. Department Counsel submitted the Government's File of Relevant Material (FORM) to the Applicant on October 9, 2003. The Applicant was instructed to submit information in rebuttal, extenuation or mitigation within 30 days of receipt. Applicant received the FORM on October 22, 2003, and did not submit a reply.

The case was assigned to the undersigned for resolution on December 3, 2003.

On August 16, 2000, a memorandum was issued by Mr. Arthur Money, Assistant Secretary of Defense for Command, Control, Communications and Intelligence, clarifying "the application of Guideline C to cases involving an Applicant's possession or use of a foreign passport." The Applicant received a copy of this memorandum. (See, Government Exhibit 4).

FINDINGS OF FACT

The following Findings of Fact are based on Applicant's Answer to the SOR, and the contents of the FORM. The Applicant is 46 years of age and has a asters degree in Engineering. He is employed as a Staff Systems Engineer by a defense contractor. He seeks a security clearance in connection with employment in the defense industry.

Paragraph 1 (Guideline C - Foreign Preference). The Government alleges in this paragraph that the Applicant is ineligible for a clearance because he has acted in such a way as to show a preference for another country over the United States.

The Applicant is a dual citizen of Taiwan and the United States. He was born in Taiwan (the Republic of China) in 1957, to Taiwanese parents. In 1984, he initially came to the United States to pursue his education. He obtained his bachelors and masters degree, married, had two children who were born in the United States, and has lived in the United States since then. In 1991, he became a United States citizen. (See, Government Exhibit 5).

The Applicant presently possesses a passport from the Republic of China that was issued to him on October 27, 1999, which will not expire until October 27, 2005. He also possesses a United States passport that was issued on March 1, 2001. (See, Government Exhibit 5).

The Applicant and his three brothers inherited equally divided property in Taiwan collectively valued at approximately $50,000.00, from their father. In order to protect the ownership of the land, the Applicant must maintain his passport from the Republic of China. Once the land is sold, however, the Applicant will relinquish his foreign passport. In his sworn statement to the Defense Security Service dated March 27, 2002, the Applicant states that he would give up his foreign passport if requested by the Department of Defense in order to get a security clearance. (See, Government Exhibit 7 at pp. 2). The Applicant has not as yet surrendered his foreign passport.

Since moving to the United States, the Applicant has never voted in Taiwanese elections, nor does he receive a foreign pension. He also states that he would decline to serve in the military forces of Taiwan. (See, Government Exhibit 7).

Paragraph 2 (Guideline B - Foreign Influence). The Government alleges in this paragraph that the Applicant is ineligible for clearance because he has foreign contacts that could create the potential for foreign influence that could result in the compromise of classified information.

The Applicant's mother, three brothers and a sister are citizens of Taiwan and reside there. The Applicant contacts his mother several times annually, usually by telephone. There is no evidence in the record as to the frequency of contacts he has, if any, with his three brothers and sister.

POLICIES

Security clearance decisions are not made in a vacuum. Accordingly, the Department of Defense, in Enclosure 2 of the 1992 Directive sets forth policy factors and conditions that could raise or mitigate a security concern; which must be given binding consideration in making security clearance determinations. These factors should be followed in every case according to the pertinent criterion. However, the conditions are neither automatically determinative of the decision in any case, nor can they supersede the Administrative Judge's reliance on her own common sense. Because each security clearance case presents its own unique facts and circumstances, it cannot be assumed that these factors exhaust the realm of human experience, or apply equally in every case. Based on the Findings of Fact set forth above, the factors most applicable to the evaluation of this case are:

Foreign Preference

When an individual acts in such a way as to indicate a preference for a foreign country over the United States, then he or she may be prone to provide information or make decisions that are harmful to the interests of the United States.

Conditions that could raise a security concern:

1. The exercise of dual citizenship; 2. Possession and/or use of a foreign passport;

6. Using foreign citizenship to protect financial or business interests in another country.

Condition that could mitigate security concerns:

None.

Foreign Influence

A security risk may exist when an individual's immediate family, including cohabitants, and other persons to whom he or she may be bound by affection, influence, or obligation are: (1) not citizens of the United States or (2) may be subject to duress. These situations could create the potential for foreign influence that could result in the compromise of classified information. Contacts with citizens of other countries or financial interests in other countries are also relevant to security determinations if they make an individual potentially vulnerable to coercion, exploitation, or pressure.

Condition that could raise a security concern:

1. An immediate family member, or person to whom the individual has close ties of affection or obligation, is a citizen of, or resident or present in, a foreign country;

Conditions that could mitigate security concerns:

None.

In addition, as set forth in Enclosure 2 of the Directive at pages 16-17, in evaluating the relevance of an individual's conduct, the Administrative Judge should consider the following general factors:

a. The nature and seriousness of the conduct and surrounding circumstances

b. The circumstances surrounding the conduct, to include knowledgeable participation

c. The frequency and recency of the conduct

d. The individual's age and maturity at the time of the conduct

e. The voluntariness of participation

f. The presence or absence of rehabilitation and other pertinent behavior changes

g. The motivation for the conduct

h. The potential for pressure, coercion, exploitation or duress

i. The likelihood of continuation or recurrence.

The eligibility criteria established in the DoD Directive identify personal characteristics and conduct which are reasonably related to the ultimate question, posed in Section 2 of Executive Order 10865, of whether it is "clearly consistent with the national interest" to grant an Applicant's request for access to classified information.

The DoD Directive states, "The adjudicative process is an examination of a sufficient period of a person's life to make an affirmative determination that the person is eligible for a security clearance. Eligibility for access to classified information is predicted upon the individual meeting these personnel security guidelines. The adjudicative process is the careful weighing of a number of variables known as the whole person concept. Available, reliable information about the person, past and present, favorable and unfavorable should be considered in reaching a determination. The Administrative Judge can draw only those inferences or conclusions that have reasonable and logical basis in the evidence of record. The Judge cannot draw inferences or conclusions based on evidence which is speculative or conjectural in nature. Finally, as emphasized by President Eisenhower in Executive Order 10865, "Any determination under this order . . . shall be a determination in terms of the national interest and shall in no sense be a determination as to the loyalty of the Applicant concerned."

The Government must make out a case under Guideline C (foreign preference) and Guideline B (foreign influence) that establishes doubt about a person's judgment, reliability and trustworthiness. While a rational connection, or nexus, must be shown between Applicant's adverse conduct and her ability to effectively safeguard classified information, with respect to sufficiency of proof of a rational connection, objective or direct evidence is not required.

Then, the Applicant must remove that doubt with substantial evidence in refutation, explanation, mitigation or extenuation, which demonstrates that the past adverse conduct, is unlikely to be repeated, and that the Applicant presently qualifies for a security clearance.

An individual who demonstrates a foreign preference and has foreign connections may be prone to provide information or make decisions that are harmful to the interests of the United States. The mere possession of a foreign passport raises legitimate questions as to whether the Applicant can be counted upon to place the interests of the United States paramount to that of another nation. The Government must be able to place a high degree of confidence in a security clearance holder to abide by all security rules and regulations, at all times and in all places.

CONCLUSION

Having considered the evidence of record in light of the appropriate legal standards and factors, and having assessed the Applicant's credibility based on the record, this Administrative Judge concludes that the Government has established its case as to all allegations in the SOR, and that Applicant's foreign contacts have a direct and negative impact on his suitability for access to classified information.

The Applicant is a dual citizen of Taiwan and the United States. He has indicated that in order to protect his property ownership in Taiwan, he must maintain his foreign passport. He presently possesses a Taiwanese passport that he obtained in 1999, after becoming a United States citizen in 1991. The Applicant has failed to comply with the provisions of the Money Memorandum that requires dual citizens to surrender their foreign passports to be eligible for access to classified information. The Applicant has not surrendered his Taiwanese passport because of his desire to protect his financial interests in Taiwan. Disqualifying conditions 1, 2 and 6 apply under Guideline C. None of the mitigating factors apply. Thus, he has not demonstrated an unequivocal preference for the United States. Under the circumstances of this case, I find against the Applicant under Guideline C.

With respect to Guideline B, the Applicant has foreign contacts, family ties, and financial interests in Taiwan. His immediate family members, in this case his mother, three brothers and a sisters, are citizens of Taiwan and reside there. He maintains some contact with his mother in Taiwan. It is unclear whether or not he has contact with his siblings. He has not shown that the contacts are infrequent and casual. Under these particular circumstances, there remains the possibility of pressure being placed on his foreign relatives, and through them, on the Applicant. It is the Applicant's burden to show that these ties are not of a nature that could create the potential for influence that could result in the compromise of classified information. He has not done so. Accordingly, I cannot say that he would not be vulnerable to foreign influence. The risk is considerable, and is of present security significance. Disqualifying condition 1 applies under Guideline B. None of the mitigating factors apply. Accordingly, the Applicant's request for a security clearance must be denied under Guideline B.

Considering all the evidence, the Applicant has not met the mitigating conditions of Guideline C or Guideline B of the adjudicative guidelines set forth in Enclosure 2 of the Directive. Accordingly, he has not met his ultimate burden of persuasion under Guidelines C or B.

FORMAL FINDINGS

Formal Findings For or Against the Applicant on the allegations in the SOR, as required by Paragraph 25 of Enclosure 3 of the Directive are: Paragraph 1: Against the Applicant.

Subparas. 1.a.: Against the Applicant 1.b.: Against the Applicant

1.c.: Against the Applicant

Paragraph 2: Against the Applicant.

Subparas. 2.a.: Against the Applicant

2.b: Against the Applicant

2.c.: Against the Applicant

DECISION

In light of the circumstances presented by the record in this case, it is not clearly consistent with the national interests to grant or continue a security clearance for the Applicant.

Darlene Lokey Anderson

Administrative Judge

FOOTNOTES

02-13932.h1 FOR GOVERNMENT Melvin A. Howry, Department Counsel FOR APPLICANT Pro Se file:///usr.osd.mil/...omputer/Desktop/DOHA%20transfer/DOHA-Kane/dodogc/doha/industrial/Archived%20-%20HTML/02-13932.h1.html[6/24/2021 10:57:10 AM] 02-13932.h1