Department of Defense
Consolidated Adjudications Facility
Adjudications Directorate
Industry Division A
From DISCO
to DoD CAF and Beyond
San Diego ISAC
Jim O’Heron
May 22, 2013
DoD CAF Mission
Mission: The DoD CAF is the sole authority to determine the
security clearance eligibility of DoD 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 DoD. In addition,
to DoD employees, the White House, United States Senate and
House of Representatives, when requested by Congress. The
DoD 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 DoD CAF serves as the finest adjudication
facility in the world by executing its enduring mission
of providing cleared/screened personnel in support of
DoD-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!
 Organize for success
Become true professional practitioners
 Understand & Embrace Leadership Guidance
 Pursue leadership effectiveness
4
Organizing for Success
 THE TEAM -- THE CENTER OF GRAVITY!
• Team Leader with 8-10 Adjudicators
• 3-4 Teams per ADJUDICATIONS BRANCH
• 2-4 Branches per Division
 Adjudication Divisions (A, B, C, D, E) vice Navy, Army, etc.
 FLEXIBILITY in an uncertain, ever changing environment
 Continued quality support to all DoD components
5
Proposed DOD CAF Provisional
Structure (DRAFT)
Director
OSDA&M
USD(I)
Mr. Rhodes
WHS
Components
Mr. Brazis
DoD CAF
PEO
Mr. Smith
GG-14
TBD
Enterprise
Support
Operations
Developmental
Element
HSPD-12 &
Suitability
Mr Giles
Assessments/
Metrics
Training
QASP &
IT Screen
ADR for
SPT
Mr. Coleman
Mr. Purtill
Mr. Rouse
AR DIV
Mr. Freels
Director
Support
CAF DDR / ADR for
Plans, OPS & Policy
WHS
Embeds
2 x OGC
Mr. Peele
IND A & B DIV
Mr. Oheron
DEF/NAVY DIV
Ms Robinson
Mr. Fish
OGC
ADR for
ADJ
Psych
Director
DoD CAF
Mr. Clark
CI & Insider
Threat
OPM
Liaison Cell
TBD
Information
Technology
Policy & Plans
TBD
TBD
Mr. Knight
PERSEC
NISP
HSPD-12 &
Suitability
Security / Fac /
Logistics
Personnel &
Resources
Ms Campbell
DoD PSI
Billing
Plans &
Initiatives
STRATCOM
AFDIV
Mr. Himelick
Call Center
Required HR Actions - Aqua Blue
AF CAO
AF WH
Program
Case
Processing
Non-DoD CAF Element
Same as Notional
AR
Board Screen
AR
Foreign Awards
Desired element
Different name/location
As of 3 May 13
Unique Service Requirements
Adjudications Directorate
(future)
Assistant Director
for Adjudications
Office of General
Counsel (WHS)
Psychologist
Exec Assistant
Division A
Division B
Division C
Division D
Division E
(INDUSTRY)
(ARMY)
(NAVY/DEF)
(AIR FORCE)
(HSPD-12)
Quality
Assurance
Section
Developmental
Branch
7
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 for forwarding to the
Director of DSS
Processes SF 312s
Electronic fingerprint card process
Face to Industry
Close working relationship between PSMO-I and Industry
Division A
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Industry Division A
• Former Defense Industrial Security Clearance Office
(DISCO)
• Part of the Department of Defense Consolidated
Adjudications Facility (DoD 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
• Processes research, recertify, and upgrades (RRU)
10
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
47
45
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
5
19
Initial NACLC and SSBI in full compliance with
IRTPA. Upward trend as resources are committed
to working backlog of SSBI-PRs
10
6
8
8
Jan-13
Feb-13
9
6
0
Oct-12
Nov-12
Dec-12
Mar-13
Apr-13
12
Incident Reports Received
FY12 Actual
FY13 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 FY12, 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
FY12 Actual
FY13 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 FY13, 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
FY12 Actual
FY13 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
During FY13, there has been an 11% decrease in PSI’s received. This has allowed the DoD CAF to shift capacity to
backlogs and training to support organizational mergers.
FY Total
178,153
93,347
DoD 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
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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 backlogs and will gain momentum into the
summer; this positive trend is threatened by:
• Suspension of OT (25-30k cases closed annually) due to sequestration
• Pulling 42 x Adjudicators off mission to train/prep for HSPD-12/Suitability
• CATS 4.0 deployment FY14
• 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 DoD-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
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Questions
19
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ISAC Seminar (May 2013) - From DISCO to DoD CAF and Beyond