1. Office of Departmental Personnel Security (AU-53) July 17, 2018
Tracey Berry
Director, Office of Departmental Personnel Security
and
Tracy L. Kindle,
Personnel Security Policy Program Manager
Y:\ORG_AU\AU-50\AU-53\Reader\Briefings

2. Agenda Organizational Structure Internal Priorities/Initiatives
Analysis of Alternatives
Major Revision of DOE O 472.2
Expediting the Security Clearance Process
Working Group on Ref
NBIB Target Team Initiative
National Initiatives
SEAD 3 “Reporting Requirements”
SEAD 6 “Continuous Evaluation”
SEAD 7 “Reciprocity”
Questions

3. Organizational Structure
Tracey Berry
Director
Monica Snow* Security Specialist
Paul Du Fresne
Field Assistance Program Manager
Tracy Kindle
Personnel Security Policy Program Manager
Tina Williams Administrative Review Program Manager
Dawn Cheek
Program Analyst
James “Butch” Lyles* Security Assistant
*Contractors

4. Internal Priorities/Initiatives
Analysis of Alternatives (AoA): AU-53 contracted with National Aeronautics and Space Administration (NASA) as a result of a 2015 Personnel Security Business Analysis (BPA). A recommendation to conduct an AoA to determine the best approach to a Department wide end-to-end IT Personnel Security Case Management System.
A DOE Charter is being developed between AU and NNSA implement the recommendations
The following recommendations are provided:
Develop standardized operating procedures, work instructions, and documentation (templates, forms, letters, PSFs) to be utilized across all CPSOs (prior to case management solution decision).
Establish a Case Management CCB (governing all DOE Personnel Security) with representation from all CPSOs and leveraging lessons learned from the CPCI CCB.
Focus on developing an effective communication plan that ensures all DOE Personnel Security stakeholders are aware of new policy changes, procedural changes and decisions.
The AoA was completed and briefed to AU leadership on July 9, 2018.

5. Internal Priorities/Initiatives
Major Revision to DOE O 472.2, Personnel Security: AU-53 is collecting input from the eight Cognizant Personnel Security Offices (CPSOs) for the revision to the Order. Once all input is received, a working group comprised of subject matter experts from the CPSOs and other stakeholders will be established to analyze and address concerns.

6. Internal Priorities/Initiatives
DOE Regulatory Reform Task Force: On January 12, 2018, the Regulatory Reform Task Force issued a memorandum to evaluate and make recommendations to several areas in the security clearance process:
Expediting the Security Clearance Process Recommendations
Require AU to continue their efforts to work closely with NBIB as they provide additional Target Teams to address critical needs at sensitive laboratories and sites, with primary emphasis on investigations for mission-critical personnel and investigations that are over two years old.
Require AU to prepare a memorandum for the Deputy Secretary’s signature directing the CSOs to submit an implementation plan within 30 days to make determinations on the 372 cases pending adjudication over 45 days and to provide recommendations for improving processing time at CPSOs with the largest workloads/backlogs.
Currently, six of the eight CPSOs use NNSA’s CATS SE. Upon completion of CATS, require all CPSOs to migrate their current IT systems to the new system to manage and track personnel security actions.
This group was chaired by AU and comprised of representatives from the Offices of Science, Environmental Management, Intelligence and Counterintelligence, Nuclear Energy and the National Nuclear Security Administration. The working group developed recommendation for coordinating with the National Background Investigations Bureau to help expedite the investigative process. They also made recommendations for accelerating DOE’s internal security clearance processes and the development of an expedited process for critical personnel.

7. Internal Priorities/Initiatives
Policy Regarding Handling of Reportable Information (SEAD 3) Recommendations:
Implement SEAD 3 without leveraging the available flexibilities.
Implement SEAD 3 by leveraging available flexibilities.
Leveraging Existing Information Sources.
Expect the Deputy Secretary’s Signature Any Day for Both Efforts
NBIB Target Team Initiative at DOE Headquarters: To reduce the impact of the delays in background investigations, AU has taken several actions, including, working with NBIB to deploy Target Teams to DOE facilities/laboratories. The team began work at DOE Headquarters on July 9, 2018 and end on August 31, NBIB will attempt to complete 300 subject interviews. Interviews will also be conducted with the subjects’ supervisors and co-workers.

8. Internal Priorities/Initiatives
Metrics
Total
Total DOE Cleared Population (including OGA) as of June 2018
105,319
Number of Pending Initial Investigations at National Background Investigations Bureau (NBIB) as of June 2018
7273
Number of Periodic Reinvestigations at NBIB as of June 2018
17,523
Number of Interim Clearances at DOE as of July 2018
460

9. National Priorities/Initiatives (SEAD 3)
Security Executive Agent Directive (SEAD) 3, Reporting Requirements for Personnel with Access to Classified Information or Who Hold a Sensitive Position
What is of SEAD 3:
On December 14, 2016, the Director of National Intelligence (DNI), in his capacity as the Security Executive Agent (SecEA) for the Federal Government, approved SEAD 3 with an effective date of June 12, 2017.
SEAD 3 establishes reporting requirements for all covered individuals who have access to classified information or who occupy a sensitive position.
This Directive applies to any Executive branch agency and its covered personnel.
Educating the Affected Population:
AU-53 has drafted a DOECAST (pending implementation approval).
AU-53 has drafted implementation guidance from the Deputy Secretary to the D-1’s (pending implementation approval).
AU-53 is working with the NTC and other stakeholders to update the Annual Security Refresher Briefing.

10. National Priorities/Initiatives (SEAD 3) cont.
Implementation Status:
On January 12, 2018, the Regulatory Reform Task Force issued a memorandum to evaluate and make recommendations to several areas as it relates to the requirement to report non-work-related foreign travel.
Implement SEAD 3 without leveraging the available flexibilities.
Implement SEAD 3 by leveraging available flexibilities.
Leveraging Existing Information Sources.
Draft DOE O incorporating SEAD 3 requirements is pending approval with the Directives Review Board (pending approval of recommendations from the Non-Work Related Foreign Travel Working Group).

11. National Priorities/Initiatives (SEAD 6) Continuous Evaluation
Security Executive Agent Directive (SEAD) 6, Continuous Evaluation (CE)
On January 12, 2018, the DNI, in his capacity as the SecEA for the Federal Government, signed SEAD 6 with an effective date of January 12, 2018
Establishes policy and requirements for continuous evaluation of covered individuals who require continued eligibility for access to classified information or eligibility to hold a sensitive position.
Applies to any Executive branch agency or covered individual.
A series of automated records checks conducted to identify adjudicatively relevant information to assist in assessing the continued eligibility of a covered individual at any time during the period of eligibility.
Data Category
Data Source
Periodicity
Eligibility
Scattered Castles
(JPAS/CVS incorporated)
Daily
Terrorism
TIDE (international)
NCIC (domestic)
Foreign Travel
DHS (BCI and APIS)
Suspicious Financial Activity
FinCEN
Monthly
Criminal Activity
Rap Back
NCIC
Credit
Credit Bureau Reports
Quarterly
Commercial
Public Records
(civil judgments, liens, bankruptcies, etc.)
As frequently as issue occurs

12. National Priorities/Initiatives (SEAD 6) Phased Implementation Continuous Evaluation Program
FY17
Conducted 2,987
5% was selected from the SCI and Privileged User population
No issues noted of an adjudicative
FY19
Checks will be same as for FY17 & FY18
Need to do 5% of Tier 5 population but can add other populations deemed as high risk by the program
FY18
Same two checks as for FY17
Conducting 3,061
Used 5% of entire Tier 5 population to get
No issues noted to date
FY20
TBD by the SecEA
FY21
Full Implementation in accordance with 5 USC (Enhanced Personnel Security Program)

13. National Priorities/Initiatives (SEAD 7)
Security Executive Agent Directive (SEAD) 7, Reciprocity of Personnel Security Investigations and Adjudications
The DNI, in his capacity as the SecEA for the Federal Government, is currently in the process of reviewing the draft SEAD 7.
SEAD 7 establishes requirements for reciprocal acceptance of national security background investigations and national security eligibility adjudications for initial or continued eligibility for access to classified information or eligibility to hold a sensitive position.
SEAD 7 applies to any Executive branch agency or covered individual.
The Draft SEAD 7 Version 4.2 is dated December 14, 2017 and was received by the Department on December 14, 2017 for review and comment.
AU-53 coordinated a response with the CPSOs and other stakeholders.
AU-53 submitted the response on behalf of the Department on January 3, 2018.
Status:
The SecEA is adjudicating comments
Release/effective date is to be determined

14. QUESTIONS POC: Tracy Kindle Main number: 202-586-3249
Official Use Only