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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Partnering with Industry to Protect National Security
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
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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)
Partnering with Industry to Protect National Security
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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)
UNCLASSIFIED
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.
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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?
Partnering with Industry to Protect National Security
UNCLASSIFIED
High Level RRU Process Overview
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Partnering with Industry to Protect National Security
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.
UNCLASSIFIED
When to Submit an RRU
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Partnering with Industry to Protect National Security
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
UNCLASSIFIED
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
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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
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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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Questions
?? ?
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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
Partnering with Industry to Protect National Security
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Questions
?? ?
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Partnering with Industry to Protect National Security