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Department of Defense Consolidated Adjudications Facility Adjudications Directorate Industry Division A From DISCO to Department of Defense Consolidated Adjudications Facility Adjudications Directorate Industry Division A From DISCO to Do. D CAF and Beyond San Diego ISAC Jim O’Heron May 22, 2013

Do. D CAF Mission: The Do. D CAF is the sole authority to determine Do. D CAF Mission: The Do. D CAF is the sole authority to determine the security clearance eligibility of Do. D personnel occupying sensitive positions and/or require access to classified material including Sensitive Compartmented Information (SCI). These determinations involve all applicants to the Department of Defense; all Active Duty, Guard and Reserve; civilian; and contractor personnel actively affiliated with the Do. D. In addition, to Do. D employees, the White House, United States Senate and House of Representatives, when requested by Congress. The Do. D CAF is responsible to ensure that, based on all available information, the individual’s loyalty, reliability and trustworthiness are such that entrusting an individual with classified information or assigning an individual to sensitive duties is clearly consistent with the interests of national security. 2

Director’s Vision Statement The Do. D CAF serves as the finest adjudication facility in Director’s Vision Statement The Do. D CAF serves as the finest adjudication facility in the world by executing its enduring mission of providing cleared/screened personnel in support of Do. D-wide readiness and force protection. Maintenance of a top quality, motivated, and dedicated staff focused on providing timely and accurate security determinations in a professional work environment serve as its hallmark. 3

REALIZING THE VISION! ü Organize for success üBecome true professional practitioners ü Understand & REALIZING THE VISION! ü Organize for success üBecome true professional practitioners ü Understand & Embrace Leadership Guidance ü Pursue leadership effectiveness 4

Organizing for Success ü THE TEAM -- THE CENTER OF GRAVITY! • Team Leader Organizing for Success ü THE TEAM -- THE CENTER OF GRAVITY! • Team Leader with 8 -10 Adjudicators • 3 -4 Teams per ADJUDICATIONS BRANCH • 2 -4 Branches per Division ü Adjudication Divisions (A, B, C, D, E) vice Navy, Army, etc. ü FLEXIBILITY in an uncertain, ever changing environment ü Continued quality support to all Do. D components 5

Proposed DOD CAF Provisional Structure (DRAFT) Director OSDA&M Mr. Rhodes WHS Mr. Brazis Do. Proposed DOD CAF Provisional Structure (DRAFT) Director OSDA&M Mr. Rhodes WHS Mr. Brazis Do. D CAF PEO Director Do. D CAF Mr. Clark Mr. Fish Mr. Smith ADR for ADJ Psych GG-14 Mr. Peele IND A & B DIV Mr. Oheron DEF/NAVY DIV Ms Robinson Mr. Himelick ADR for SPT Mr. Coleman Mr. Purtill Enterprise Support Operations Mr. Rouse Assessments/ Metrics Training QASP & IT Screen AFDIV TBD Developmental Element HSPD-12 & Suitability Mr Giles AR DIV Mr. Freels CAF DDR / ADR for Plans, OPS & Policy WHS Embeds 2 x OGC Director Support CI & Insider Threat OPM Liaison Cell TBD Information Technology Mr. Knight Policy & Plans TBD PERSEC TBD NISP HSPD-12 & Suitability Security / Fac / Logistics Personnel & Resources Ms Campbell Do. D PSI Billing Plans & Initiatives STRATCOM Call Center Required HR Actions - Aqua Blue AF CAO AF WH Program Case Processing Non-Do. D CAF Element Same as Notional AR Board Screen As of 3 May 13 AR Foreign Awards Desired element Different name/location Unique Service Requirements

Adjudications Directorate (future) Assistant Director for Adjudications Office of General Counsel (WHS) Psychologist Exec Adjudications Directorate (future) Assistant Director for Adjudications Office of General Counsel (WHS) Psychologist Exec Assistant Division A Division B Division C Division D (INDUSTRY) (ARMY) (NAVY/DEF) (AIR FORCE) Division E (HSPD-12) Quality Assurance Section Developmental Branch 7

Personnel Security Management and Oversight for Industry (PSMO -I) • • • Part of Personnel Security Management and Oversight for Industry (PSMO -I) • • • Part of the Defense Security Service Laura Hickman - Director Reviews e-QIPs Rejects e-QIPs when necessary Forwards e-QIPs to Office of Personnel Management (OPM) Prepares interim suspension packages forwarding to the Director of DSS Processes SF 312 s Electronic fingerprint card process Face to Industry Close working relationship between PSMO-I and Industry Division A 8

Industry Division A • Former Defense Industrial Security Clearance Office (DISCO) • Part of Industry Division A • Former Defense Industrial Security Clearance Office (DISCO) • Part of the Department of Defense Consolidated Adjudications Facility (Do. D CAF) Adjudications Directorate • Grants personnel security eligibilities for individuals in private industry • Personnel security eligibilities are granted to 13, 000 cleared facilities for the sponsored individuals • Approximately 1 million individuals in industry with personnel security eligibility at any given time • Requests reopening of incomplete personnel security investigations • Recommends interim suspension action to DSS Director 9

Industry Division A (Cont. ) • Reviews incident reports and requests reimbursable suitability investigations Industry Division A (Cont. ) • Reviews incident reports and requests reimbursable suitability investigations • Processes research, recertify, and upgrades (RRU) 10

Industry Division B • Former Adjudication Division of the Defense Office of Hearings and Industry Division B • Former Adjudication Division of the Defense Office of Hearings and Appeals (DOHA) • Grants, Denies, and Revokes personnel security eligibilities • Sends interrogatories to applicants • Requests medical evaluations • Issues Statements of Reason 11

Intelligence Reform and Terrorism Prevention Act of 2004 50 45 47 Initial SSBI &. Intelligence Reform and Terrorism Prevention Act of 2004 50 45 47 Initial SSBI &. . . SSBI-PR 45 40 40 36 35 37 SSBI-PR above the mandated 30 day standard, but trending down with reallocation of resources 37 30 PR standard 25 Initial standard 20 18 15 10 19 Initial NACLC and SSBI in full compliance with IRTPA. Upward trend as resources are committed to working backlog of SSBI-PRs 10 8 5 6 8 Jan-13 Feb-13 9 6 0 Oct-12 Nov-12 Dec-12 Mar-13 Apr-13 12

Incident Reports Received FY 12 Actual FY 13 Actual Oct 1, 738 940 Nov Incident Reports Received FY 12 Actual FY 13 Actual Oct 1, 738 940 Nov 836 787 Dec 876 664 Jan 936 969 Feb 914 778 Mar 956 741 Apr 869 549 May 966 Jun 965 Jul 810 Aug 1, 017 Sep 780 Since FY 12, there has been a 9. 8% decrease in Incident Reports received. Organizations must ensure that required reports are submitted. FY Total 11, 663 5, 428

RRU Received FY 12 Actual FY 13 Actual Oct 3, 350 3, 992 Nov RRU Received FY 12 Actual FY 13 Actual Oct 3, 350 3, 992 Nov 3, 324 3, 545 Dec 2, 803 2, 797 Jan 3, 825 3, 818 Feb 4, 079 3, 610 Mar 3, 673 3, 612 Apr 3, 028 4, 004 May 3, 633 Jun 3, 593 Jul 3, 717 Aug 4, 207 Sep 3, 519 During FY 13, there has been a 5. 4% increase in RRU’s received. This increase is likely due to current backlog of Industry cases. . FY Total 42, 751 25, 378

OPM PSI Received FY 12 Actual FY 13 Actual Oct 14, 846 12, 150 OPM PSI Received FY 12 Actual FY 13 Actual Oct 14, 846 12, 150 Nov 12, 094 12, 248 Dec 16, 621 13, 686 Jan 14, 264 12, 053 Feb 14, 114 13, 061 Mar 17, 719 15, 893 Apr 15, 187 14, 256 May 13, 861 Jun 16, 993 Jul 14, 575 Aug 14, 917 Sep 12, 962 FY Total 178, 153 93, 347 During FY 13, there has been an 11% decrease in PSI’s received. This has allowed the Do. D CAF to shift capacity to backlogs and training to support organizational mergers.

Do. D Consolidated Adjudications Facility (CAF) Pending Industry Workload I N V E N Do. D Consolidated Adjudications Facility (CAF) Pending Industry Workload I N V E N T O R Y 14, 702 (Backlog) 12, 899 (Backlog) Industry Backlog Industry Work in Progress (WIP) 14, 005 (WIP) NISP Backlog (Due Process) - Reduced by 1, 803 cases (12%). Estimate 1 -2 years to eliminate Impact of 11 Day Furlough: Potential to delay adjudication of approximately 12, 000 PSIs. This will prevent reducing existing and/or increasing backlog 11, 638 (WIP) Total Industry Workload % Total CAF Inventory 28, 707 37. 9% 24, 531 (-4, 176) 30. 4% (-7. 5%)

Adjudication Guidelines • • • • Guideline A: Allegiance to the United States Guideline Adjudication Guidelines • • • • Guideline A: Allegiance to the United States Guideline B: Foreign Influence Guideline C: Foreign Preference Guideline D: Sexual Behavior Guideline E: Personal Conduct Guideline F: Financial Consideration Guideline G: Alcohol Consumption Guideline H: Drug Involvement Guideline I: Psychological Conditions Guideline J: Criminal Conduct Guideline K: Handling Protected Information Guideline L: Outside Activities Guideline M: Use of Information Technology Systems 17

Directors Conclusion and Assessment • PRODUCTION METRICS – We have “turned the corner” with Directors Conclusion and Assessment • PRODUCTION METRICS – We have “turned the corner” with backlogs and will gain momentum into the summer; this positive trend is threatened by: • Suspension of OT (25 -30 k cases closed annually) due to sequestration • Pulling 42 x Adjudicators off mission to train/prep for HSPD-12/Suitability • CATS 4. 0 deployment FY 14 • Training requirements due to creation of a single Industry Division • CRITICAL PATH – Success in FY 14: • CATS 4. 0 deployed • Common CATS/DISS Portal deployed Do. D-wide (i. e. SMO’s, FSO’s, HR) • Correct “troops to task” for all missions…new and old • Continued reduction of NISP backlog; eliminate NLT early 2015 • OVERALL: • Consolidation of cultures, “best-practices” and workload continuing VERY WELL!! • Furloughs will negatively impact entire CAF. • Ability to reduce backlogs • Increase in IRTPA timeliness • Correspondence less timely 18

Questions 19 Questions 19