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

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

PSMO-I Updates End to End Timeliness (days) DSS Knowledge Center Interim Secret Process T5 381 T5R 375 T3 221 T3R 189 (888) 282-7682 Select Option #2 Office Hours: 8:00AM to 5:00PM DoD policy requires the following for an Interim Secret to be granted Scheduled investigation Review of the SF-86 FP check Proof of U.S. citizenship Implemented 1 Aug 2016 Electronic Initiatives e-QIP Processing RRU Click to Sign submissions: 98% eFingerprint submissions: 100% 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. If your case is set to expire in 3 days or less, please call the Knowledge Center Reciprocity Responses to Official Government Requests Recertify/ Upgrade/Rejects

Change in T5R 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, T5 PRs currently residing with DSS will only be processed if the above exception is met. To identify those T5 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

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

Industry Personnel Clearance Process DoDCAF NBIB DSS DSS Review e-QIP and determine interim eligibility NBIB Schedules and completes investigation DoDCAF Reviews completed investigation against adjudicative guidelines Interim (Source: National Security Oversight Reports - Nov 2016)

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: Ensure e-QIP is actually required Encourage the applicant to review information in the e-QIP for completeness and accuracy prior to submitting FSO, conduct thorough review of e-QIP for completeness prior to submission to PSMO-I Use Click to Sign for all forms associated with the e-QIP Capture and submit fingerprints electronically

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 SF86? 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?

Tiered Investigation Standards Implementation of Federal Investigative Standards Tiered Investigations 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 Sensitive Critical Sensitive Tiered Investigation Associated Tier 1 Tier 2 Tier 4 Tier 3 Tier 5 Current Type Investigation NACI MBI BI NACLC/ANACI SSBI Standard Form Used SF-85 SF-85P SF-86 Who Submits Government 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 Source: Security Policy & Oversight Division (USD/I)

Incident Reports 1 2 3 The Basics Interim Suspension 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? Will be closed out in JPAS and CATS by PSMO-I. Low Incident Report 1 For example: Wage garnishment: no arrearages Will remain open in JPAS and CATS for adjudicative action by the DoD CAF. Medium Incident Report 2 For example: Foreign travel of a suspicious or unreported nature Will remain open in JPAS and CATS for immediate action by PSMO-I and the DoD CAF. High Incident Report 3 For example: Meets DSS Interim Suspension Criteria Incident Reports What is an Incident? Any information that reflects on the integrity or character of a cleared employee. How should it be reported? The FSO should submit the information via JPAS. The report should be marked as “Final” instead of “Initial”. This protects the contractor’s privacy. What information should be included in an Incident Report? Provide as much information as possible. 5W’s and include mitigating factors. If there is any documentation to provide, it can be sent to askpsmo-i@dss.mil or fax it to 571.305.6011. The information provided will aide in the adjudication of the Incident Report. Can other FSOs see information about an Incident from another company? How do you prevent that? Yes, if the report is submitted as Initial. However, if the FSO submits the report as Final, then only DSS, DoD CAF, and the company will be able to see the details of the Incident Report. Is the database used for IRs operational? No, it is not. Please have FSOs submit Incident Reports via JPAS. Where do I send my culpability reports? Michael.B.Ray2.civ@mail.mil and Stephanie.E.Miller35.ctr@mail.mil What is the IR triage? The IR triage is a review of all Incident Reports received from Industry in JPAS, fax, email, and mail. The triage is risk based and each IR is given a level of risk: low, medium, and high. Low tier IRs are able to be closed in JPAS. Medium tier IRs are sent to the CAF for adjudication. High tier IRs may warrant Interim Suspension action on the final eligibility of an individual. 30-50 Incident Reports are received by PSMO-I via JPAS daily. PSMO-I is able to take immediate action on all Incident Reports, reducing risk for DSS and Industry. I don’t know if this is really an Incident. Who should I call? Contact the Knowledge Center. PSMO DITMAC DoDCAF OAG Interim Suspension Send Culpability Reports to Roger.A.Smith127.civ@mail.mil and Michael.B.Ray2.civ@mail.mil Send information pertaining to incident reports to dss.ncr.dss-isfo.mbx.psmo-i@mail.mil For additional assistance or clarification on Incidents, call the DSS Knowledge Center (888) 282-7682, Option 2

Adverse Information – Critical to our National Security What is Adverse Information? Failure to report adverse information may result in an acute or critical vulnerability if discovered during an assessment. Why Submit? Early intervention is the key to quick mitigation and resolution Any information that reflects on the integrity or character of a cleared employee Critical to Our National Security 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 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 Remember: Failure to report adverse information could impact multiple locations since cleared employees frequently move between contractors Cleared Employees Where to Submit? Who is at Risk? System of Record – JPAS (Recommended) Includes any individual with eligibility for access to classified information or in process for a security clearance Conduct sufficient fact-finding to ensure reports are not made based solely upon rumor or innuendo Alternative Methods: Fax: (571) 305-6011 or PSMO-I.fax@dss.mil DoD Hotline (1.800.424.9098 or hotline@dodig.mil) Provide as much information as possible when completing the report - refer to the questions on the SF86 When to Report? Immediately! 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 R E F N C S Complete “Detailed” Adverse Information Report Who was involved? When did the incident happen? What was the incident? Where did the incident occur?

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

When to Submit an RRU Submit RRU Call DSS 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 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) Separate in JPAS Erroneous DOD/Military category Call DMDC Recertify Recertify Recertify Recertify Recertify Recertify Upgrade Upgrade Research

DSS Knowledge Center Option 2 is the new askPSMO-I (888) 282-7682 Office Hours: 8:00AM to 5:00PM 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. e-QIP & Golden Questions Research, Recertify or Upgrade Incident Report or Security Violation Unacceptable Case Notices Overseas or CONUS All Other Personnel Clearance Inquiries 1 - System Access Issues 2 - Personnel Security Inquiries 3 - Facility Clearance Inquires 4 - OBMS 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

DISS Overview DISS will enable consistent standards throughout the collateral DoD 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 May 17 Jun 17 Pre Rollout Post Rollout Legend Training 60 days prior to Go-Live User Provisioning 60 & 15 days prior to Go-Live Industry Turn off Legacy Systems Infrastructure and Information Assurance Load, Performance, & Preliminary OT&E Testing Testing** Governance WHS Army Air Force & Navy Suitability & HSPD-12 Deployment Milestone

DRAFT Industry Go-Live Activities for DISS Launch 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 DRAFT

Influencing the Way Ahead Personnel Clearance Initiatives 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 FY17 (Monitoring) Performance Accountability Council (Alignment) Federal Investigative Standards (FIS) Tier 3 Secret – 5 year reinvestigation Continuous Evaluation Defense Information System for Security (DISS) CATS v4 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 PCL Working Groups / Committees DSS | Industry Working Group Background Investigation Stakeholders Group DoD CE Working Group DNI CE Working Group DoD 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

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

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

Questions?