Personnel Security Briefing NAWCAD Industry Day … Industry Day 25 Oct 2017... · UNCLASSIFIED UNCLASSIFIED Partnering with Industry to Protect National Security Personnel Security

UNCLASSIFIED

UNCLASSIFIED

Partnering with Industry to Protect National Security

Personnel Security Briefing

NAWCAD Industry Day

Larry PaxtonPersonnel Security Management Office for Industry (PSMO-I)

October 25, 2017

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UNCLASSIFIED

PSMO-I Mission

Oversee personnel security within the National Industrial Security Program and expand Continuous Evaluation across the Department of Defense

• Interim eligibility determinations for access to classified information

• Analyze adverse information to drive down risk and assess trends

• Manage, integrate and communicate to provide real-time PCL guidance to government and Industry

• Execute Personnel Security Investigation for Industry funding

• Representation on Federal and Defense enterprise committees and working groups

Functions of the PSMO-I

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Determine Trust Interim Determinations Eligibility / AccessNon-disclosure Agreements

Risk Oversight Continuous Evaluation Incident Reports Periodic Reinvestigations Interim Suspensions Field Integration

Training & Outreach Stakeholder Engagement Customer Engagement Consolidated Knowledge (Call)

Center Standardize decisions

and practices

PSI Budget Execution Validate Need Submit for Investigation Investigate AdjudicateMaintain


UNCLASSIFIED

Personnel Security Management Office for Industry and DoD-CE

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10kIncident Reports

80K

Interim Clearance Determinations

220K

e-QIPS Submitted

30k

Overdue PRs

100kKnowledge Center Calls

40k

RRU Requests

1,112,000CE Population

80kCE Alerts

16kValid Alerts

Cleared Population

814k

Cleared Contractors (Eligible)

740k

Cleared Contractors

(In Access)

PCL Metrics Adverse Information Customer Service New Mission!

Note: All values represent averages per year


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PSI-I History and Events

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1,364

11,402

1,024

29,904

39,259

33,000

10,789

0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

40,000

45,000

eQ

IP In

ven

tory

Actual Inventory

Metering Due to PSI-I Shortfall

Continuing Resolution #1

Continuing Resolution #2

Continuing Resolution FY16


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Step 6 Step 5

OPM schedules investigation

Step 3

Step 9 Step 7

Step 1 Step 2 Step 4

Step 10 Step 11 Step 12

High Level PCL Process Overview

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FSO identifies need and initiates e-QIP and instructs applicantto complete

Issues?

Grant final eligibility

DoDCAF sends SOR to DOHA legal review

DOHA agrees with SOR, sends to FSO/Subject

DOHA disagrees with SOR and recommends final

eligibility

If Subject fails to respond to SOR, DoDCAF will post

Denial/Revocation

Once applicant completes e-QIP, FSO reviews for completeness and releases to PSMO

and submits eFP

Administrative Determination or Official Hearing for final determination

Subject responds to SOR and returns response to DOHA

PSMO-I reviews e-QIP for

issues andcompleteness

Eligible for reapplication after 1 year

Complete no issues?

OR

PSMO-I receives AdvNAC and

processed for Interim Secret/TS

OPM completes investigation

Step 8

DoDCAF Adjudicator reviews investigation results

and vets the application against adjudicative guidelines

OR

Yes

No

Revise and send back to FSO for corrections

Release to OPM

No


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Tiered Investigation Standards

Why We Investigate Public Trust National Security

Reason Suitability Access to Classified Information

Position Low-Risk Moderate Risk High Risk Confidential Secret Top Secret SCI

Position Sensitivity Non-Sensitive Non-Critical SensitiveCritical

SensitiveCritical

Sensitive

Tiered Investigation Associated Tier 1 Tier 2 Tier 4 Tier 3 Tier 3 Tier 5 Tier 5

Current Type Investigation NACI MBI BI NACLC/ANACI SSBI

Standard Form Used SF-85 SF-85P SF-86

Who SubmitsGovernment Agencies (not NISP contractors)

FSOs

• Three basic reasons for conducting background investigations

• National Security – access to classified

• Suitability / Fitness for government employment

• Personal Identity Verification in support of credentialing

• Homeland Security Presidential Directive 12 (HSPD-12)

• Physical access to facilities and or logical access to systems

Implementation of Federal Investigative Standards Tiered Investigations

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NISP


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Section 5: Investigative RequestsParagraph 5.3 Limitations and Restrictions for Submitting InvestigationsSub-paragraph b(2). Limits on Investigations, page 26

“DSS will not process a PSI request for an employee of, or a consultant to, a contractor when there is not a legitimate requirement for access to classified information in supporting a U.S. Government or foreign government requirement in accordance with DoD 5220.22-R and Volume 3 of DoDM5200.22.”

CDSE website - www.cdse.edu – Resources -Toolkits - Personnel Security - Personnel Security Policy

Executive Services Directorate website - www.esd.whs.mil/DD/DoD-Issuances/ Issuance Types

DoD Manual 5200.02 – Apr 3, 2017Procedures for the DoD Personnel Security Program

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Industry Personnel Clearance Process

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DSS

NBIB

DoDCAF

(Source: National Security Oversight Reports – August 2017)


20

6

82

6

24

24

11

11

446

433

185

173

119

22

20

12

0 100 200 300 400 500 600

T5R

T5

T3R

T3

Industry Personnel Clearance Timeliness

Initiate (DSS) Advanced Products (NBIB) Interim Determination (DSS) Investigate (NBIB) Adjudicate (DoDCAF)

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T5R Submission Periodicity

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January 7, 2017 - Notice of six year submission window for contractor periodic reinvestigations begin Tier 5 Periodic Reinvestigations (PRs) for industry personnel six years after the date of the previous investigation rather than at the five-year mark

February 10, 2017 - Change(s) to the January 6, 2017 guidance posted on www.dss.mil, concerning Tier 5 Periodic Reinvestigations (T5 PR) caveat programs for Special Access Programs (SAP) where the SAP policy, as of February 10, 2017, explicitly states a T5 PR is due every 5 years. (this will be considered a caveat program) Note: SCI is NOT considered an exception and should not be submitted to PSMO-I.

Please no longer submit RRUs for caveat T5 PRs. DSS will be processing the T5 PR inventory by oldest to newest prior to investigation package expiration. Also, the expiration date for e-QIPs in JPAS was increased from 90 days to 120 days. Therefore, e-QIPs will not expire until they reach negative 30 day (-30). For new T5 PR Caveat requests, please include the following in the “Special Handling Instructions”:1. Statement indicating the e-QIP is in support of a caveat program (as identified in this new criteria)2. GCA contact information

April 7, 2017 - PSMO-I is currently managing the investigation request inventory in order to stay within our budget authority, with priority being given to requests for initial clearances. This may result in Tier 5 Reinvestigations either terminating from the system or being rejected if a Special Access Program (SAP) Caveat is not identified as described in the February 10, 2017 guidance available on the DSS website.

August 22, 2017 - REMINDER: The Personnel Security Management Office for Industry (PSMO-I) is prioritizing the submission of initial T5 (Top Secret) and T3 (Secret) investigative requests to the National Background Investigations Bureau. PSMO-I is continuing to monitor industry periodic reinvestigations to ensure none expire from the system. Industry should continue to submit T3R investigation requests to PSMO-I, in addition to caveat program T5Rs per the April 7, 2017 guidance.

DSS is asking that industry no longer submit Tier 5 PRs not meeting caveat, unless directed by DSS.


http://www.dss.mil/www.dss.mil

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In light of current processing timelines, please keep in mind what you can do to reduce delays:

o Ensure e-QIP is actually required

o Encourage the applicant to review information in the e-QIP for completeness and accuracy prior to submitting

o FSO, conduct thorough review of e-QIP for completeness prior to submission to PSMO-I

o Use Click to Sign for all forms associated with the e-QIP

o Submit fingerprints electronically, when the request is released to PSMO-I

e-QIP Rejections

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Signature pages not received, contains errors, or

wrong subject25%

Cohab SSN20%

Employment verification

15%

Spouse SSN15%

HSPD-12 requests

14%

Financial information

11%

Common PSMO-I e-QIP Reject Reasons

Fingerprints Not

Submitted / Expired

76%

Mailing Address

Incomplete10%

Subject Information Discrepant

7%

Misc7%

Common NBIB Investigation Request Reject Reasons


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It is our mission to make interim determinations and ensure timely support to Industry personnel; getting

trusted, cleared people to work as quickly as possible, and in the interest of national security.

For an Interim to be granted, DoD policy now requires:• A scheduled investigation with NBIB

• Favorable review of the SF-86

• Fingerprint check

• Proof of U.S. citizenship

• Local Records Checks

Common Interim Declinations Reasons:• Financial Considerations

• Foreign Preference – passport / ID card

• Foreign Influence – family

• Drug Involvement

• Alcohol Consumption

Interim Determinations

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Incident Reports

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Complete “Detailed” Incident Report

Provide as much information as possible when completing the incident report. Pro tip: refer to the

questions on the SF-86

Remember: Failure to report adverse information could impact multiple locations since cleared employees

frequently move between contracts/employers

Out of more than 800,000 cleared contractors eligible for access to classified information, DSS receives fewer than 1,000 reports per month. That is less than one percent. For comparison, in the U.S. in 2016 there were 715 per 100,000 (7%) per capita arrests. AND, the NISP has more stringent reporting criteria including, financial debt, drug use, foreign influence and foreign preference, use of information technology, handling of protected information, etc.

Continue Business As Usual

The PSMO Incident Report team triages all incoming incident reports on a daily basis.

All Medium and High Tier incidents are automatically sent to the CAF for further action and are closed as soon as possible.

Will remain open in JPAS and CATS for adjudicative action by the DoD CAF.

Medium Incident Report

Will remain open in JPAS and CATS for immediate action by PSMO-I and the DoD CAF.

High Incident Report

Will be closed out in JPAS and CATS by PSMO-I.

Low Incident Report


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Adverse Information – Critical to our National Security

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What is Adverse Information?

Any information that reflects on the integrity or

character of a cleared employee

Who is at Risk?

Suggests their ability to safeguard classified information may be impaired or their access to classified information may not be in the interest of national security

Includes any individual with eligibility for access to classified information or in process for a security clearance

Cleared Employees

Where to Submit?

Provide as much information as possible

when completing the report - refer to the

questions on the SF86

When to Report? Immediately!

Complete “Detailed” Adverse Information Report

Who was involved? When did the incident happen?

What was the incident? Where did the incident occur?

Alternative Methods: Fax: (571) 305-6011 or [email protected] DoD Hotline (1.800.424.9098 or [email protected])

System of Record – JPAS

(Recommended)

Critical to Our National Security

Conduct sufficient fact-finding to ensure reports are not made based solely upon

rumor or innuendo

Remember: Failure to report adverse information could impact multiple locations since cleared employees frequently move between contractors

Early intervention is the key to quick mitigation and

resolution

Failure to report adverse information may result in an acute or critical vulnerability if

discovered during an assessment

DSS Website: http://www.dss.mil/psmo-i/indus_psmo-i_maintain.html#Incident

Regulations (NISPOM 1-302, ISL 2011-04, and ISL 2006-02): http://www.dss.mil/isp/fac_clear/download_nispom.html

FSO Toolkit: http://www.cdse.edu/toolkits/fsos/new-fso.html

Webinars (e.g. Adverse Information, Cyber, SCR): http://www.cdse.edu/catalog/webinars/index.html

SF-86: https://www.opm.gov/forms/pdf_fill/sf86.pdf

REFERENCES

Protect our national security Protect our warfighters Protect our nation’s economic stability Protect industries competitive advantage in the marketplace Establish confidence in the cleared population

Why Submit?


mailto:[email protected]


http://www.dss.mil/psmo-i/indus_psmo-i_maintain.html

http://www.dss.mil/isp/fac_clear/download_nispom.html

http://www.cdse.edu/toolkits/fsos/new-fso.html

http://www.cdse.edu/catalog/webinars/index.html

https://www.opm.gov/forms/pdf_fill/sf86.pdf

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High Level RRU Process Overview

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PSMO-I reviews RRU to determine requested action.

• If the RRU can be processed/answered by PSMO-I, then appropriate action is taken by PSMO-I.

• If the RRU requires CAF action, it is sent to the DoD CAF via a CATS RRU.

Reciprocity:

The majority of Reciprocity requests are sent via Research RRU.

• The RRU is answered with a preformatted message indicating that the request has been forwarded for verification.

• If the Reciprocity is for the State Department, an e-mail is sent to the State Department POC.

For all other Reciprocity requests:

• A “Reciprocity” case type is created in CATS.

• If appropriate, CVS is checked for possible Reciprocity. If there is an eligibility that can be used for Reciprocity, a CVS Notification form is uploaded to CATS

and auto assigned to the DoD CAF for processing.

• If the CVS notification is negative and there is no indication of SCI eligibility or access, an agency specific fax will be sent for reciprocity information.

• If the CVS check is negative, and the RRU or JPAS reflect SCI eligibility or access, a Scattered Castles request is sent to the DoD CAF.

• The DoD CAF will conduct the SC check and if verified, will post the appropriate eligibility information in JPAS. If the SC check is negative, an agency specific

fax will be sent for reciprocity information.

Since Jan 19, 2017 PSMO-I has received a daily average of 70 Research, 35 Upgrade, and 38 Recertify RRU requests.

• There were a total of 510 Research RRU on Jan 19, 2017, with a high of 2,022 on March 2, 2017.

• Current inventory of Research RRU’s as of 16 Oct 2017 is 267.

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When to Submit an RRU

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Upgrade

Upgrade

Recertify

Research

Recertify

Recertify

Recertify

Recertify

Recertify

Submit RRU Call KC Other

Change in Marital Status/Cohabitation (“Scheduled” investigation only)

Change in Marital Status/Cohabitation with Foreign National

DSS requests a PR to be submitted but a PR is not required

SCI No Longer Required

SCI Request

SSN Change

LOJ with Previous Valid Eligibility

No Determination Made with Previous Valid Eligibility

Reciprocity

Change of Employment

Request Adjudication on Closed Investigation (provided the closed investigation is over 30 days)

Cancel “Scheduled” Investigation (Subject No Longer Requires Access)

PII Change (No Longer has DOD/Military associations)

Request Adjudication on Closed Investigation (needs to move to a another DoD component for adj)

Reopen "Discontinued" Investigation

Upgrade/Downgrade Investigation

Status of investigation/adjudication (outside standard timeframes)

Cancel “Scheduled” Investigation (Employment Termination) Separate in JPAS

Erroneous DOD/Military category Call DMDC

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Continuous Evaluation

Why How

What

Automated Records Checks to address the following standards:

• Terrorism

• Foreign Travel

• Suspicious Financial Activity

• Criminal Activity

• Credit

• Public Records

• Eligibility

Per E.O. 13467, as amended, “Continuous evaluation (CE) means a vetting process to review the background of an individual who has been determined to be eligible for access to classified information or to hold a sensitive position at any time during the period of eligibility. CE leverages a set of automated record checks and business rules to assist in the on-going assessment of an individual’s continued eligibility. CE is intended to

complement continuous vetting efforts.”

Individuals with:

• DoD affiliation

• Eligible for Access

• Signed SF-86 dated 2010 or later

Recommendations from the reviews of the Washington Navy Yard shooting:

• Implement Continuous Evaluation

• Establish a DoD Insider Threat Management & Analysis Center (DITMAC)

• Centralize Authority, Accountability & Programmatic Integration Under a Single Principal Staff Assistant

• Resource & Expedite Deployment of the Identify Management Enterprise Services Architecture (IMESA)

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Who/When


UNCLASSIFIED

Stay in Touch with PSMO

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DSS Knowledge Center(888) 282-7682, Option #2

Submit an RRUVia JPAS

Fax requested documents only(571) 305-6011 or [email protected]

EmailPolicy [email protected] [email protected]

PSMO-I Homepagehttp://www.dss.mil/psmo-i/index.html

DSS Facebook Pagehttps://www.facebook.com/DSS.Stakeholders

DSS Twitterhttps://twitter.com/DSSPublicAffair

AskPSMO-I Webinarhttp://www.dss.mil/psmo-i/psmo-i_archived_webinar_docs.htmldss.ncr.dss-isfo.mbx.psmo-i@mail.mil

PSMO-I OutreachContact your local NCMS chapter for upcoming training events in which PSMO will present





http://www.dss.mil/psmo-i/index.html

https://www.facebook.com/DSS.Stakeholders

https://twitter.com/DSSPublicAffair

http://www.dss.mil/psmo-i/psmo-i_archived_webinar_docs.html


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For Further Assistance…

DMDC Contact Center

Phone: 1-800-467-5526Email: [email protected]@mail.mil

Menu Options:

DoD CAF Call Center

Phone: 301-833-3850 (SSOs and FSOs ONLY)Website: http://www.dodcaf.whs.mil

Email: [email protected] Options:

5 – Industry

DOHA

Phone: 866-231-3153Email: [email protected]

1 – DISS

3 – JPAS

4 – e-QIP

5 – SWFT

6 – DCII

7 – PerSec/General Questions

8 – STEPP/ISFD/FCL

DIA Industry Personnel Security (SEC-3B)Address: Department of Defense Consolidated Adjudications Facility, Suite #330600 10th StreetFort George G. Meade, MD 20755-5615Email: [email protected]

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http://www.dodcaf.whs.mil/




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Questions

?? ?

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UNCLASSIFIED


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DISS Scope

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The Defense Information System for Security (DISS) is a family of systems that will serve as the system of record for comprehensive personnel security, suitability and credential management of all DoD military, civilian, and contractor personnel.

The DISS family of systems is comprised of two components: the Case Adjudication Tracking System (CATS) and the Joint Verification System (JVS).

Once fully deployed, the DISS family of systems will replace the Joint Personnel Adjudication System (JPAS).

DISS is undergoing a phased deployment.


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DISS Deployment

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Top-Level Critical Tasks & Milestones for DISS Deployment

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Sep 17 Oct 17 Nov 17 Dec 17 Jan 18 Feb 18 Mar 18 Apr 18 May 18 Jun 18

Release 5.6.3 For MILDEPS 12/11/17

Infrastructure Build-Out

Industry Working Group Training (3/18)

Hierarchy

Release 5.6.4 For MILDEPS 12/17 Release 5.6.4 .x

For MILDEPS 2/18

Testing / Training: MILDEPS, DoD CAF, Industry

Application Deployment

User Provisioning

End User Support

Industry Deployment (5/18)

MILDEPS 10/17 Industry 3/18

Sep 2017 – May 2018


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DISS Deployment Phases

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Sep 17 Oct 17 Nov 17 Dec 17 Jan 18 Feb 18 Mar 18 Apr 18 May 18 Jun 18

Phase 1 – Migration to Single Adjudicative System

Migrate off the multiple adjudicative systems and core enterprise services into DISS

Phase 2 – DISS Enterprise Subject Management

• Migrate subject management capabilities and additional enterprise services into DISS• Legacy CATS/CATS Portals will be taken offline

Phase 3 – Establishment of a Single System of Record

• Completes the rollout of the DISS enterprise services• JPAS will be taken offline


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Questions

?? ?

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Documents

Personnel Security Briefing NAWCAD Industry Day … Industry Day 25 Oct 2017... · UNCLASSIFIED UNCLASSIFIED Partnering with Industry to Protect National Security Personnel Security