PSMOI Personnel Security Update January 2017 Presented by

PSMO-I Personnel Security Update January 2017 Presented by: Demetrius Moore Personnel Security Management Office for Industry (PSMO-I)

Functions of the PSMO-I Personnel Clearance Oversight • • Initiate Investigate Adjudicate Maintain Personnel Clearance Processing • Interim Clearances • Eligibility/Access • Non-disclosure Agreement (SF-312) Clearance System Records Data Management Continuous Evaluation • Periodic Reinvestigations • Incident Report Triage • Interim Suspension • • • JPAS DISS ISFD NISS e-QIP Industry Liaison • NISP PCL IT System Requirements • Engagement and Collaboration • Issue Resolution 2

PSMO-I Updates End to End Timeliness (days)381 • T 5 R • T 3 R Electronic Initiatives • Click to Sign submissions: 98% • e. Fingerprint submissions: 100% DSS Knowledge Center 375 221 189 Interim Secret Process • (888) 282 -7682 • Select Option #2 • Office Hours: 8: 00 AM to 5: 00 PM e-QIP Processing • To stay within its budget authority, DSS has been metering the expenditure of PSI-I funds and maintaining a daily limit on the number of cases submitted to OPM. q If your case is set to expire in 3 days or less, please call the Knowledge Center RRU • Do. D policy requires the following for an Interim Secret to be granted q Scheduled investigation q Review of the SF-86 q FP check q Proof of U. S. citizenship • Implemented 1 Aug 2016 • Reciprocity • Responses to Official Government Requests • Recertify/ Upgrade/Rejects 3

Change in T 5 R Submissions Periodicity Notice of six year submission window for contractor periodic reinvestigations, effective Jan. 6, 2017 • Effective immediately, DSS will submit Tier 5 Periodic Reinvestigations (PRs) for industry personnel six years after the date of the previous investigation rather than at the five-year mark to the National Background Investigations Bureau (NBIB) of the Office of Personnel Management. This change in periodicity will be reevaluated prior to December 31, 2017. Additional information for Facility Security Officers on when and how to submit Tier 5 PRs at the six-year mark will be provided at a later date. • We are asking that industry no longer submit Tier 5 PRs unless directed by DSS. • Exceptions will be made for those Tier 5 PRs required for Special Access Programs (SAP) as determined by the Government Contracting Activity (GCA). In addition, T 5 PRs currently residing with DSS will only be processed if the above exception is met. To identify those T 5 PR exceptions for investigation requests currently with DSS, please submit an RRU (Recertify) with the following information: – – – Applicant requires PR processing due to their involvement in a designated caveat program Contact information for FSO Contact information for GCA 4

High Level PCL Process Overview Step 1 Step 2 FSO identifies need and initiates e-QIP and instructs applicant to complete Step 9 Issues? Step 3 Once applicant completes e-QIP, FSO reviews for completeness and releases to PSMO and submits e. FP PSMO-I reviews e-QIP for issues and completeness Step 4 4 Complete no issues? Release to OPM Step 5 Step 8 Step 7 Do. DCAF Adjudicator reviews investigation results and vets the application against adjudicative guidelines OPM completes investigation PSMO-I receives Adv. NAC and processed for Interim Secret/TS Step 11 Step 12 NO – grant final eligibility YES – Do. DCAF sends SOR to DOHA legal review Step 10 DOHA agrees with SOR, sends to FSO/Subject OR DOHA disagrees with SOR and recommends final eligibility Subject responds to SOR and returns response to DOHA Revise and send back to FSO for corrections Step 6 OPM schedules investigation Administrative Determination or Official Hearing for final determination OR If Subject fails to respond to SOR, Do. DCAF will post Denial/Revocation Eligible for reapplication after 1 year

Industry Personnel Clearance Process Do. DCAF NBIB DSS NBIB Review e-QIP and determine interim eligibility Schedules and completes investigation Do. DCAF Reviews completed investigation against adjudicative guidelines Industry Personnel Clearance Timeliness Investigation Type Interim T 3 T 5 T 3 R 73 24 2 104 T 5 R 158 346 117 10 14 104 0 15 306 100 200 46 300 400 500 Days Approve e-QIP (DSS) Advanced Products (NBIB) Interim Review (DSS) Investigate (NBIB) (Source: National Security Oversight Reports - Nov 2016) Adjudicate (Do. D CAF) 6

e-QIP Rejections • At the PSMO, it is our mission to process interim clearances for Industry personnel and get cleared people to work as quickly as possible. In light of current processing timelines, please keep in mind what you can do to reduce delays: Top e-QIP Rejection – Ensure e-QIP is actually required Reasons Change From P – Encourage the applicant to review To Initial/FP Re Q 1 FY 17 24% information in the e-QIP for Other completeness and accuracy prior to 22% submitting Cleared Through – FSO, conduct thorough review of e-QIP Another Agency 4% for completeness prior to submission to PSMO-I Spouse SSN 4% Unable T – Use Click to Sign for all forms associated Unemployment/Self-Employment Grant Inter Verification with the e-QIP TS Cohab Info 5% 17% 6% Unable To – Capture and submit fingerprints Current Open Inv. Grant Interim 7% electronically Secret 11% 7

e-QIP & Interim Clearance FAQs The Basics • • What is an Interim clearance? Who issues an Interim eligibility and why? What are the different types of interim clearances? What information is reviewed for an Interim to be issued? By The Numbers • • What’s the e-QIP inventory? How long does the subject have to fill out an e-QIP? How long does an FSO have to review the completed SF 86? How long does it take for an Interim to be issued? The Nitty Gritty • • • Is it possible for an interim be removed? Why? What do the following eligibility terms mean: • Eligibility Pending? • No Determination Made? • Loss of Jurisdiction? Is it possible for PSMO-I to revisit an Interim determination? How does that occur? Bottom Line for FSO’s • • What should I do if I have an e-QIP that is going to “terminate” in JPAS? What if I have a mission critical e-QIP that needs to be processed now? 8

Implementation of Federal Investigative Standards Tiered Investigation Standards Why We Investigate Reason Position Low-Risk Position Sensitivity Public Trust National Security Suitability Access to Classified Information Moderate Risk High Risk Confidential Non-Sensitive Non-Critical Sensitive Tiered Investigation Associated Tier 1 Tier 2 Tier 4 Current Type Investigation NACI MBI BI Standard Form Used SF-85 Who Submits • Secret SF-85 P Government Agencies (not NISP contractors) Tier 3 Top Secret Critical Sensitive Tier 5 Tier 3 NACLC/ANACI SSBI SF-86 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 Source: Security Policy & Oversight Division (USD/I) 9

Incident Reports The Basics • • • 1 What is an Incident? How should it be reported? What information should be included in an Incident Report? Can other FSOs see information about an Incident from another company? How do you prevent that? Is the database used for IRs operational? What is the IR triage? Low Incident Report 2 Medium Incident Report 3 High Incident Report For example: Wage garnishment: no arrearages For example: Foreign travel of a suspicious or unreported nature For example: Meets DSS Interim Suspension Criteria Will be closed out in JPAS and CATS by PSMO-I. Will remain open in JPAS and CATS for adjudicative action by the Do. D CAF. Will remain open in JPAS and CATS for immediate action by PSMO-I and the Do. D CAF. PSMO OAG DITMAC Ø Send Culpability Reports to Roger. A. Smith 127. civ@mail. mil and Michael. B. Ray 2. civ@mail. mil Ø Send information pertaining to incident reports to dss. ncr. dss-isfo. mbx. psmo-i@mail. mil Ø For additional assistance or clarification on Incidents, call the DSS Knowledge Center (888) 282 -7682, Option 2 Do. D CAF Interim Suspension 10

Adverse Information – Critical to our National Security What is Adverse Information? Any information that reflects on the integrity or character of a cleared employee Early intervention is the key to quick mitigation and resolution § 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 Who is at Risk? e port advers Failure to re y result in an ma information ility if cal vulnerab ti ri c r o te u c a during an discovered assessment. Remember: Failure to report adverse information could impact multiple locations since cleared employees frequently move between contractors When to Report? Immediately! Provide as much information as possible when completing the report - refer to the questions on the SF 86 Complete “Detailed” Adverse Information Report § Who was involved? § What was the incident? § When did the incident happen? § Where did the incident occur? Critical to Our National Security 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 § § Where to Submit? Cleared Employees § Includes any individual with eligibility for access to classified information or in process for a security clearance Why Submit? Conduct sufficient factfinding to ensure reports are not made based solely upon rumor or innuendo R E F E R E N C E S System of Record – JPAS (Recommended) § Alternative Methods: - Fax: (571) 305 -6011 or PSMO-I. fax@dss. mil - Do. D Hotline (1. 800. 424. 9098 or hotline@dodig. mil) ü DSS Website: http: //www. dss. mil/psmo-i/indus_psmoi_maintain. html#Incident ü Regulations (NISPOM 1 -302, ISL 2011 -04, and ISL 2006 -02): http: //www. dss. mil/isp/fac_clear/download_nispom. html ü FSO Toolkit: http: //www. cdse. edu/toolkits/fsos/new-fso. html ü Webinars (e. g. Adverse Information, Cyber, SCR ): http: //www. cdse. edu/catalog/webinars/index. html ü SF-86: https: //www. opm. gov/forms/pdf_fill/sf 86. pdf

Three Types of RRU Requests Reciprocity Requests Research Official Government Requests Incorrect eligibility line Recertify Upgrade For all other inquiries, FSOs should contact the PSMO-I via the DSS Knowledge Center. 12

When to Submit an RRU Submit RRU 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 Recertify Call DSS Other Recertify Recertify Upgrade Research 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 Do. D component for adjud) Reopen "Discontinued" Investigation Upgrade/Downgrade Investigation Status of investigation/adjudication (outside standard timeframes) Critical priority requests (i. e. expiring e-QIP) Cancel “Scheduled” Investigation (Employment Termination) Erroneous DOD/Military category Separate in JPAS Call DMDC

DSS Knowledge Center Option 2 is the new ask. PSMO-I (888) 282 -7682 Office Hours: 8: 00 AM to 5: 00 PM Please note: Option #2 closes the last Friday of each month for the purpose of conducting internal training to deliver the highest quality customer service to Industry and Government callers. 1 - System Access Issues 2 - Personnel Security Inquiries 3 - Facility Clearance Inquires 4 - OBMS 1. 2. 3. 4. 5. 6. e-QIP & Golden Questions Research, Recertify or Upgrade Incident Report or Security Violation Unacceptable Case Notices Overseas or CONUS All Other Personnel Clearance Inquiries 5 - CDSE / STEPP 6 - International 7 - Policy Common call categories • • • Investigation Request Being Held at PSMO-I Interim Reconsideration (Interim Decline/Eligibility Pending) OPM - Contact Information, Cyber Security Resource Center, Breach, Verify an Investigator Reciprocity Requests Adjudication/Investigation status 14

DISS Overview • DISS will enable consistent standards throughout the collateral Do. D Personnel Security, Suitability and HSPD-12 mission areas. Once fully deployed, DISS will replace JPAS, the Clearance Verification system (CVS) and the legacy Case Adjudication Tracking Systems (CATS) as the system of record.

DISS Deployment Overview Jun 16 Jul 16 Aug 16 Sep 16 Oct 16 Nov 16 Dec 16 Jan 17 Feb 17 Mar 17 Apr 17 Infrastructure and Information Assurance Load, Performance, & Preliminary OT&E Testing** Training 60 days prior to Go-Live User Provisioning 60 & 15 days prior to Go-Live Training User Provisioning Governance WHS Army Legend Pre Rollout Post Rollout Deployment Milestone Air Force & Navy Suitability & HSPD-12 Industry Turn off Legacy Systems May 17 Jun 17

DRAFT Industry Go-Live Activities for DISS Launch T F Industry Hierarchy and User Provisioning Activities – Submit PSAAR to DSS/DMDC for Level 1 Hierarchy Managers – prior to 2/5 – Level 1 Hierarchy Managers obtain system access – 2/27 – Review hierarchy structure and provide feedback – 3/5 – 3/16 – Initiate user provisioning (administer the PSAAR) 2/27 – 3/27 – Begin hands on user familiarization 3/5 – 3/16 – Activate users in production (one time password to activate CAC/PIV) 3/16 – 3/27 – Industry Go-Live 3/27 D A R

Influencing the Way Ahead Personnel Clearance Initiatives PCL Working Groups / Committees National Background Investigation Bureau (NBIB) Transition National Background Investigation System (NBIS) • End-to-End Pilot (Army) • MIRADOR (Automated Records Checks) Defense Security Enterprise – BPR (Incident Reports and CE) NDAA FY 17 (Monitoring) Performance Accountability Council (Alignment) Federal Investigative Standards (FIS) • Tier 3 Secret – 5 year reinvestigation • Continuous Evaluation Defense Information System for Security (DISS) • CATS v 4 • JVS Portal • Interim Clearance automation – Interim Secret and Interim TS • User Provisioning for Industry (Transition to PSMO-I) National Industrial Security System (NISS) National Contract Classification System (NCCS) Knowledge Center • e-QIP Authentication Resets (Transition to DMDC) • Customer Service Requests & CE Growth • • • • DSS | Industry Working Group Background Investigation Stakeholders Group Do. D CE Working Group DNI CE Working Group Do. D CAF Stakeholder Working Group PCL Working Group (NISPPAC) ARC End-to-End Pilot DSE BPR JPAS/SWFT PMO DISS Governance Board Defense Security Enterprise Advisory Group (DSEAG) NCMS ISAC NDIA/AIA INSA 18

Engagement and Collaboration JPAS PMO Meetings CDSE Flash Email Briefings to Industry DSS/IO Bulk Email Ask. PSMO-I Webinar DSS Facebook DSS. MIL Voice Of Industry CDSE Webinar NCMS Meetings NCMS Facebook INSA JPAS Website CE WG DSS Twitter Triage Outreach Program DMDC PSA Access Magazine Ask. PSMO-I DMDC Contact Center Do. D CAF Call Center Do. D Security Services Call Center NISPPAC BISG DIWG ISAC SWFT JPAS ISFD 19

For Further Assistance… PSMO-I Fax: Email: DSS Knowledge Center (571) 305 -6011 PSMO-I. fax@dss. mil* dss. quantico. dss-hq. mbx. policyhq@mail. mil dss. ncr. dss-isfo. mbx. psmoi@mail. mil *Note: When using the e-fax option to submit SF-312 s or any PII, encrypt the file in the first email and send the password in a separate email. Phone: (888) 282 -7682 Menu Options: 1 – System Access Issues 1. e-QIP & Golden Questions 2. ISFD, OBMS, NCAISS 3. STEPP 3 – Facility Clearance Inquires 2 – Personnel Security Inquiries 1. e-QIP & Golden Questions 2. Research, Recertify or Upgrade 3. Incident Report or Security Violation 4. Unacceptable Case Notices 5. Overseas or CONUS 6. All Other Personnel Clearance Inquiries 6 – International 4 – OBMS 5 – CDSE / STEPP 7 – Policy 1. NISPOM Policy Inquiries 2. NISPOM Policy Email 3. International Assurance / Visits / LAA DMDC Contact Center Do. D CAF Call Center DOHA Phone: 1 -800 -467 -5526 Email: dmdc. contactcenter@mail. mil dmdc. swft@mail. mil Phone: 301 -833 -3850 (SSOs and FSOs ONLY) Website: http: //www. dodcaf. whs. mil Email: whs. meade. dodcaf. mbx. dodcafcallcenter@mail. mil Menu Options: 5 – Industry Phone: 866 -231 -3153 Email: dohastatus@ssdgc. osd. mil Menu Options: 1 – JPAS 3 – SWFT 4 – DCII 5 – Personnel Security Inquiry 6 – General Inquiry / Contact Center Information DIA Industry Personnel Security (SEC-3 B) Address: Department of Defense Consolidated Adjudications Facility, Suite #330 600 10 th Street Fort George G. Meade, MD 20755 -5615 Email: DIActr. Adjudications@dodiis. mil

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