2009 04 30 ISAC Mtg. Minutes and ... - ISAC - Dayton Ohio by xiangpeng


									Industrial Security Awareness Council (ISAC)

Date and Location: April 30, 2009, Advanced Technical Intelligence Center,
Beavercreek OH.

ISAC Officers:

Karen Kitts, Chair (karen.kitts@jacobs.com)
Pam Chenault, Vice Chair (pam.chenault@survice.com)
Oscar Leyva, Secretary (oscar.leyva@dss.mil)

Karen Kitts started the meeting by welcoming attendees and thanking Mr.
James Whitten and ATIC for hosting the meeting.

Karen commented regarding the ISAC Website Homepage. She briefed on
ID and password request procedures; RSVP meeting procedures and
pointed out the different links in the website. Attendees were requested to
ensure user ID, passwords and website addresses are maintained. Karen
relayed that we need to maintain Password and ID requests changes to a
minimum so as not to burden website host representatives from Battelle
Memorial Institute. Refer to the attached slides for further information.

Pamela Chenault briefed on a website listing she compiled. The list
contains security education materials, security equipment sources and
point of contact information. The list is attached and will also be posted in
the security education portion of the ISAC website.

Karen presented “JPAS Pointers”. The attached slides describe the
different Personnel Security Questionnaire statuses that are reflected in
JPAS (i.e. initiated, awaiting FSO review, approved etc).

Mr. Tom Liszkay, Chief of the Columbus OH Defense Office Hearing and
Appeals (DOHA) Personnel Security Division, provided a briefing regarding
the DOHA process.

Mr. Liszkay explained that DOHA is the largest component of the Defense
Legal Services Agency that provides hearings and issues decisions in
personnel security clearance cases for contractor personnel doing
classified work for all DoD components and 20 other Federal Agencies and
Departments; conducts personal appearances and issues decisions in
security clearance cases for DoD civilian employees and military
personnel; settles claims for uniformed service pay and allowances, and
claims of transportation carriers for amounts deducted from them for loss
or damage; conducts hearings and issues decisions in cases involving
claims for DoD School Activity benefits, and TRICARE/CHAMPUS payment
for medical services; and functions as a central clearing house for DoD
alternative dispute resolution activities and as a source of third party
neutrals for such activities.

DOHA has its headquarters in Arlington, Virginia and maintains field offices
in Boston, Massachusetts; Los Angeles, California and Columbus, Ohio.
The Director, Appeal Board, Administrative Judges, a small cadre of
Security Specialists, the Claims Division, and Support Staff reside at
headquarters. The Los Angeles office has Administrative Judges,
Department Counsel and Support Staff. The Boston office has an
Administrative Judge. The Columbus office has Security Specialists, an
Attorney-Adviser, and Support Staff.

DOHA handles those cases in which the Department has reached the
preliminary decision that it is not clearly consistent with the national
interest to grant or continue a security clearance for access to classified
information to a person who holds or requires a security clearance for
access to classified information to a person who holds or requires a
security clearance in connection with his or her employment.

When the Columbus Operations Center of Defense Security Service (DSS),
forwards a case to DOHA in Columbus, Ohio, the initial adjudication of a
personnel security clearance case for a contractor employee is performed
by DOHA personnel security specialists in Columbus. This initial review is
based on DoD Directive 5220.6 and the Adjudication Policy criteria.

The adjudication policy has mitigating and disqualifying factors for each
area of concern. If the DOHA security specialist adjudicators recommend
that the case be submitted to an Administrative Judge for a determination
whether to deny or revoke the security clearance, a Statement of Reasons
(SOR) is issued by DOHA. The SOR is issued to the Applicant for a security
clearance after a legal sufficiency review by a DOHA Department Counsel.

The Applicant has thirty days to respond to the SOR by admitting or
denying each separate allegation in the SOR (with further explanation if
desired by the Applicant) and sign their answer in the presence of a notary.
If the Applicant does not respond after a reasonable time, the Applicant is
defaulted and clearance processing is terminated with resultant denial of a
pending request for a security clearance and revocation of any current
security clearance.

If an Applicant requests a hearing, it will be held in the United States, in a
metropolitan area near where the Applicant lives or works before a DOHA
Administrative Judge who will decide the case. Some Applicants represent
themselves or choose to be represented by an attorney at their expense or
to have a Personal Representative such as a friend, family member, or
union representative. Department Counsel, an attorney, represents the
Government and will present evidence and argument supporting the
allegations made against the Applicant in the Statement of Reasons. Before
the hearing the Department Counsel will send the Applicant a copy of the
documents that will be presented to the Administrative Judge to support
the allegations in the Statement of Reasons. The Applicant is responsible
for bringing to the hearing any witnesses or written evidence he or she
wishes to have the Administrative Judge hear or consider.

If the Applicant does not wish to have a hearing, and Department Counsel
does not request one, the case will be decided by an Administrative Judge
on the basis of the written materials presented by both sides. Department
Counsel will prepare a File of Relevant Material that consists of documents
that support the allegations contained in the Statement of Reasons and
Department Counsel's arguments or comments based on those
documents. Department Counsel will send a copy of the File of Relevant
Material to the Applicant with a notice that the clearance Applicant will
have 30 days in which to make a written response if the Applicant chooses
to do so. If, after the 30 days have elapsed, no response from the Applicant
is received, the Administrative Judge will make a decision based solely
upon the written materials contained in the File of Relevant Material.

At the DOHA hearing, an Administrative Judge presides over a trial-type
procedure which allows both the Department and the Applicant to put on
their respective cases. DOHA Department Counsel represents the
Government. The records that the DSS collects are usually the
Government's main evidence. Witness testimony is often used to fill in the
gaps of the paper record. For both parties, the testimony of witnesses may
also be the only way to introduce certain documents into evidence. In some
very rare instances, Office of Personnel Management Special Agents may
be asked to attest to the fact that they collected the records. The industrial
hearing gives the applicant the opportunity to confront and cross-examine
witnesses. Once the hearing is complete, the Administrative Judge issues
a written decision.

The written decision by the Administrative Judge includes findings of fact
and conclusions of law and is based upon the record evidence, written
security suitability criteria, and case law. In all decisions, DOHA applies the
"clearly consistent with the interests of national security" standard. The U.
S. Supreme Court has held that the "clearly consistent with the interests of
national security" test indicates that "security-clearance determinations
should err, if they must, on the side of denials." Dept.of Navy v.Egan, 484
U.S. 518, 531 (1988).

The Administrative Judge's decision may be appealed by either party to a
DOHA Appeal Board. The Appeal Board gives deference to the Judge's
credibility determinations in deciding whether the Administrative Judge's
findings of fact are supported by such relevant evidence as a reasonable
mind might accept as adequate to support a conclusion in light of all the
contrary evidence in the record. The Appeal Board ensures that the
Administrative Judge adheres to the procedures required by Executive
Order 10865 and DoD Directive 5220.6. The Appeal Board can remand or
reverse for errors of law or fact or where the Administrative Judge's rulings
or conclusions are arbitrary, capricious, or contrary to law. Department
Counsel also represents the interests of the Department on appeal and
handles any actions arising out of the final decision.

During the course of the presentation, Mr. Liszkay responded to questions
that were solicited before the meeting. Refer to the attachment for

Mike Cadenhead briefed members on OPM’s plan to add ability for DOD
contractors to use e-QIP for SF85P submittals. He was uncertain how we
will be notified. He stated after the meeting that e-QIP already contains the
SF-85P for use by Homeland Security and some State Department
employees applying for background investigations. The interface for DOD
users just has not yet been activated.

Mike made reference to a form his facility uses for the employee to
acknowledge that he/she received an initial security briefing and that they
understand the limitations imposed for an Interim Clearance. The form is
posted on the ISAC website.

Because of time constraints, the DSS Corner was not briefed. Slides and
notes are attached for review. If you have questions, do not hesitate to
contact Linda Tahvonen or Oscar Leyva, DSS.

The next meeting is tentatively scheduled for July 16 2009 at a location to
be determined. We invite you to provide ideas and/or suggestions
regarding topics. Do not hesitate to contact us.
                        ISAC Meeting Questions – 4/30/09

•   Can a contractor (FSO) check on the status of a case? ANSWER: Yes.

•   Can the contractor (FSO) contact DOHA to discuss a case and if so, what is the
    appropriate process? ANSWER: Mr. Liszkay encouraged calls to the DOHA Help
    Desk at 1-866-231-3153. He cautioned that only general questions would be fielded
    because of the Privacy Act.

•   Can the individual under investigation contact DOHA? ANSWER: Yes. However,
    in additional to Privacy Act concerns, only general information can be released since
    the caller’s identity cannot be verified over the phone.

•   Dual citizenship and taking custody of the passport issued by the foreign
    country. In one case FSO was advised by DOHA to hold the passport. In another
    case FSO was advised to destroy passport. Why the difference? ANSWER:
    Policy on this matter has changed several times. Depending on whether it is DOHA or
    DISCO giving you the direction, the applicant may be asked to destroy, return or
    surrender to the FSO.

•   I recently submitted a clearance on January 22, 2008 for an individual whose
    clearance was denied in 2002. Form 86 was filed electronically and his original
    fingerprint cards and signed original medical, investigation request and release
    of information form were mailed. Jan. 29, 2009 I received a letter from DISCO
    indicating his security eligibility has been referred to DOHA. On March 6, 2009 I
    received his fingerprint card and signed forms back indicating no case was
    uploaded. On March 13, 2009 I sent a letter to Office of Personnel Management
    indicating the date/time certified in the E-QIP was 2009-0-22. I know they have
    received his case since it was referred to DOHA. I have not received a response
    to my letter. Where these forms should be forwarded? ANSWER: Without all the
    fact this question cannot be answered. Call customer service 1-888-282-7682 and
    have them look into the situation so that they can advise you exactly what you need to
    do, if anything.

•   I have a cleared (TS) employee who has multiple rental properties and is
    allowing one of them to go into foreclosure because he is unable to maintain
    suitable occupancy to make owning the property feasible. He can’t sell the
    property in the current market. I am filing an adverse information report on this
    individual and was wondering how this would affect his clearance. He is due for
    a periodic reinvestigation in about three years. ANSWER: The FSO is correct by
    filing an adverse information report. Mr. Liszkay emphasized that in all instances, it is
    best for the cleared employee to work with creditors to ensure that a plan is in place to
    provide restitution.

•   A government customer has informed us that in order to receive a CAC card
    they “need the paperwork for anyone that used to be a foreign national, or had
    dual citizenship, but had to renounce their citizenship in order obtain a security
    clearance. Whatever form the company has for this will be sufficient.” IAW AFI
    31-501 it states that an individual that applies for a security clearance is
    required to surrender a foreign passport they possess or a security clearance
    will be denied; which is also true if the passport is identified after a security
    clearance determination is made. Furthermore, it states that an individual’s
    expressed willingness to renounce dual citizenship is one of the conditions that
    could mitigate security concerns but actual renouncement is not required. As I
    understand it, the information the customer is requesting is on the front end of
    receiving a clearance. I might see DSS having some type of
    form/documentation, but not the company. Do you have any
    thoughts/suggestions/recommendations as to what I can provide to the
    customer for documentation? ANSWER: Mr. Liszkay could not respond to this
    since his agency has nothing to do with the CAC card process. Further information for
    consideration is being provided by DSS: CAC cards and clearance applications are
    two different processes and you can obtain a CAC card without a clearance. There
    would be nothing that DSS could release to customer outside of their Central
    Adjudicative Facility (CAF) request a copy of the individuals investigation and this
    would need to take place through formal channels. The customer will have to advise
    you what documentation would satisfy their requirements.

•   An employee had an interim secret clearance that was pulled (loss of
    jurisdiction). The case is now at DOHA and has been since October 2008. The
    case worker is requesting the employee provide proof of payment on accounts
    that are no longer on her credit report. The accounts were on a previously run
    credit report that DOHA is working from. An updated report has been provided
    to the case worker but she is stating the original report must be satisfied. Those
    accounts, which were not paid off, are no longer on the report because they
    have exceeded the statute of limitations. The debts are no longer owed or being
    pursued. The case worker is requiring the employee to contact each creditor
    requesting each account be reopened so she may satisfy these debts. Is this
    how this is typically handled? ANSWER: Documentation must be provided. DOHA
    is looking at the individual’s ability to meet his or her financial obligations. Mr. Liskay
    emphasized that his agency is looking at the subject’s ability to be responsible in
    dealing with creditors. A plan must be in place. Ignoring the debt is not considered a

•   The individual had an SSBI SCI DCID DoNCAF in 2001. The individual has not
    had access for over two years. When we requested a NACLC reinvestigation so
    that the individual could be issued SECRET access, we were told we should
    either initiate an “initial” NACLC or, better yet, we should initiate an SSBI PR (no
    fingerprint required). Because the individual does not require the TS access, we
    have chosen not to initiate an SSBI PR, but to initiate an reinvestigation NACLC
    (knowing we need a fingerprint card because of the individual did not have
    access for over two years). Please confirm that we took appropriate action and
    that a NACLC PR cannot be initiated if there was a previous SSBI. We thought
    an SSBI encompass all including the NACLC. ANSWER: If there is a 2 year break,
    an initial NACLC needs to be initiated for Secret eligibility.

•   I understand that the adjudication guidelines use the “whole person” concept,
    but what effect does financial difficulty really have someone being able to
    obtain a security clearance? Are a recent bankruptcy, late payments,
    agreement with creditors to pay on balances, etc. disqualifiers? Nowadays, a
    lot of people may be having financial difficulty that people have many concerns
    about. And sometimes it takes getting that new job (that requires a Security
    clearance) to help get them out of the struggle they may be in. I know money is
    one of the key tactics used for espionage, so I understand the concern with
    financial problems, but would like to know any true disqualifying
    factors. ANSWER: A plan must be in place to resolve financial issues along with a
    determination that the subject is not living beyond his/her means. It is imperative that
    subject id dealing with creditors to come up with an agreeable plan to pay accrued

•   Noticing more and more advertisements of attorneys specializing in
    representing individuals for cases forwarded to DOHA. Is this becoming a
    common practice? ANSWER: There is no prohibition to do so and it is
    commonplace because of the www.

•   In some cases, it seems to take many months for DOHA to retrieve records from
    other government agencies. What are the drivers for these delays and is there
    an action plan to correct it? ANSWER: Unfortunately, most records are still in paper
    form stored in warehouses. In some instances, certain documents can be accepted
    from subject if the authenticity can be verified. There is an effort underway to digitize
    this information but Mr. Liszkay suspects it will take some time.

•   What makes a case classified? It seems like they are more difficult to obtain a
    status for. It's like they are not in the system until assigned to an adjudicator.
    Do they follow a different protocol? ANSWER: Most cases are For Official Use
    Only. Mr. Liszkay acknowledged that there are some classified cases. However,
    classified information cannot be used during DOHA hearings.

•   What are contractor’s options for obtaining status on a case that has been at
    DOHA for a long period of time, over six months, other than making monthly
    phone calls to the very helpful customer service staff? ANSWER: Call the DOHA
    Help Desk at 1-866-231-3153. He cautioned that only general questions would be
    fielded because of the Privacy Act. He suggested that calling every 30 days may be
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                         Visit the DOHA Web Site:
      -Feel free to direct an individual with questions to the
      Defense Office of Hearings and Appeals web site address:
      -http://www.defense/ink.mi/. dodge. doha

     -This site provides information about DOHA programs and
     can answer many questions. All Administrative Judge and
     Appeal Board Decisions since 1996 are published on the
     DOHA website for anyone to read in redacted form (to
     protect personal privacy). In addition, you can advise any
     individual that they can call DOHA at either:

      -1-866-231-3153 (Arlington, Virginia) or

      -1-614-827-1619 (Columbus, Ohio) to ask about a case.
                        ISAC Reference List
Information Sources:
  • NCMS                                      www.classmgmt.com
  • Extranet for Security Professionals       https://pmis.xsp.org http://www.xsp.org
  • Information Security Oversight
  • Interagency OPSEC Support Staff           www.ioss.gov
  • Homeland Security                         www.dhs.gov
  • Central Intelligence Agency               www.cia.gov
  • Federal Bureau of Investigation           www.fbi.gov
  • Infragard – an FBI program                www.infragard.net
  • Centre for Counterintelligence and
  Security Studies
  • US Department of State                    www.state.gov
     - Travel warnings                        http://travel.state.gov
  • Office of the National                    www.ncix.gov/whats.html
  Counterintelligence Executive
  • A global display of terrorism and
  other suspicious events
  • Acronyms, abbreviations, or initial       www.acronymfinder.com
  • Security related information              http://dssa.dss.mil/seta/downloads.html
  • American Society for Industrial
  Security [ASIS]
  • The federal government has
  established a website that lists current    http://www.usaspending.gov/fpds/index.php?r
  government contracts and information        eptype=a
  about the contractor and contracts
  • The latest spy gadgets                    http://www.ajoka.com/
  • The US Dept of State Directorate of       http://pmddtc.state.gov/
  Defense Trade Controls
  • All Industrial Security Letter
  available for downloading
  • The CMC (Classified Material
  Conversion) website with instructions
  for sending materials to them for           http://www.nsa.gov/cmc
  destruction. Remember, if you make
 changes to your destruction procedures you
 will need to update your master plan.
 • Security awareness videos                  http://dssa.dss.mil/seta/training_videos.html

 • Office of the National
    Counterintelligence Executive
 • Central Coast Security                     www.ncms-channelislands.org
                   Helpful Sites and Phone Nos.
  •   Birch Systems – posters to purchase                        www.birchsystems.com
  •   Free posters                                               www.ioss.gov
  •   Posters, posters, posters                                  http://members.impulse.net/~sate/posters.html
  •   More free posters – really nice!                           http://dssa.dss.mil/seta/downloads.html

Word Searches/Scrambles/etc:
  • Word searches, cross word puzzles
  •   Cryptograms                                                Kidzone.ws/puzzles/cryptogram
  •   Calendars                                                  www.printablecalendar.ca
  •   Puzzle makers                                              http://puzzlemaker.discoveryeducation.com/
  •   Know-It-All Security Quiz                                  http://www.da.usda.gov/pdsd/Security%20Gu

Make-it yourself giveaways:
 • Scratch off labels                                            www.thecraftypc.com
 • Glue to make scratch pads                                     www.thecraftypc.com

Where Can I Find…
 • Ceiling clips                                                 http://www.you-nique.com/
 • Magnetic Open/Closed signs for                                http://www.securitysign.com
 safes and file cabinets                                         Note: these are free from the DoD Lock
                                                                 Program below.
  • X09 Combination Lock (DoD Lock
  • Courier Bags (Nest-A-Bags®)                                  nest@icincusa.com
                                                                   - Abbott Atlantic
                                                                      9478 Deereco Road
                                                                      Lutherville, MD 21093
                                                                      (410)252-1777, (800)782-4181
  • Security Seals                                               www.cgmsecuritysolutions.com

Important Phone Numbers
Linda Tahvonen ..................... 603-5891                    Oscar Leyva..................................... 603-5890
Wright-Patterson Fingerprinting                                  Wright-Patterson Pass and Registration
 ................................................ 257-3891       ......................................................... 257-6506
JPAS Help Desk ...........1-888-282-7682                         WPAFB Incinerator (John Tandy) .. 255-6971

This is an ongoing list. Please feel free to contact Karen or Pam for items you would like to include.
                                                             2                                          updated April 29, 2009
ISAC Website Access

  User ID and password required to access website

  Email Karen Kitts,
   − Email address
   − First, last name
   − Company name
  Website administrator
  will contact you with
  user ID and password
  Please, please,
  please, make record
  of this information
  Please, please,
  please bookmark
ISAC Website Homepage
Meeting Information/RSVPs

  STEP 1 - Click on blue meeting        STEP 3 - Enter required
  announcement hyperlink                information

  STEP 2 - Click on blue registration

                                        STEP 4 – Save and close
JPAS Pointer: PSQ Status
 Once PSQ requested through JPAS, hyperlink appears on Person
 Summary screen under Investigation Summary section

 Also appears on Investigation Request Status Notification screen

 Also appears on Add/Modify Investigation Request screen under
 Investigation Request Status History
To see hyperlinks
− Must have relationship with person, owning or servicing
− Must have “Request Investigation” privilege
− Must be authorized user within SMO
Stop investigation
− Only requesting SMO can request prior to
  certification/transmission step
− If resubmittal required after PSQ has stopped, a new
  PSQ must be initiated
Ready-for-Review process
− Once PSQ submitted by applicant it is forwarded to
  DISCO for review
− Upon arrival at DISCO, requesting SMO receives Ready-
  for-Review notification
− DISCO reviews completed PSQ and approves or stops
DISCO Approval process
− If no discrepancies noted, DISCO approves and
  forwards investigation request to eQIP
− Once investigation request received by eQIP, requesting
  SMO receives Approved notification
− OPM notified to open investigation
DISCO stop process
− If discrepancies noted during ready-for-review process,
  DISCO stops PSQ
− Requesting SMO receives Ready-for-Review (stopped)
− DISCO notifies requesting SMO of discrepancies via
  Message from CAF notification
Released process
− Once PSQ arrives at OPM, eQIP notified of successful
− eQIP notifies JPAS PSQ was released
− Requesting SMO receives a Released notification via
Fingerprints should
be submitted once
Released notification
− Refer to Person
   Screen, Perform
   SII Search, SII
   Summary to
   ensure OPM has
   received PSQ
Check Add/Modify Investigation Request screen for
status summary
Review and Approve Flowchart
Release Flowchart
Check Person Summary screen to see when
investigation opens

Check Notifications often for status
Check Eligibility Change

Click on SSN hyperlink to indoctrinate
On Person Summary page, in Accesses table,
click on Indoctrinate hyperlink

Ensure NDA (SF312)
date completed; if not,
Enter access date
Check Person Summary screen, Accesses table
to ensure access appears

Inform applicant of status change
This is to certify that I,                                            , was provided a security briefing that
included the following:

    •   Threat Awareness
    •   Defensive Security
    •   An overview of the security classification system
    •   Reporting Obligations and requirements
    •   Security procedures and duties applicable to my job

If I am being assigned an Interim Security Clearance while awaiting full clearance, I understand
that I am cleared for access to classified information up to and including SECRET except for the

    •   Sensitive Compartmentalized Information
    •   Restricted Data
    •   COMSEC Information
    •   NATO Classified Information
    •   Special Access Program Information

Name of Person Providing Briefing Material:

Signature of Person Providing Briefing:                                                    Date Signed:

Signature of Employee: ________________________________ Date Signed:

                813 IRVING-WICK DRIVE W. • HEATH, OH 43056-6118 • Tel: (740) 788-5400 • Fax: (740) 788-5404

Linda Tahvonen
 Oscar Leyva
1. NATO Briefing Requirements
2. Contaminations
3. IS Tracking Requirements
4. Assistance from ISAC Volunteers
5. New DSS Academy On-Line Courses
  NATO Briefing Requirements
1. You must have a DD Form 254
2. FSO is briefed by the CSA (DSS) in-turn
    briefs employees. ISFD is updated to
    reflect the Facility is NATO briefed.
3. Records are maintained by FSO per
    NISPOM Chapter 10, Section 7.
1. When notified, immediately call your
   assigned ISR for guidance.
2. When classified material is released
   inadvertently as unclassified, the notice
   itself is classified (4-217)
    IS Tracking Requirements
Who is responsible for re-evaluating the
IS, tracking the IATO and requesting re-
accreditation prior to the end of the three
(3) year Approval to Operate (ATO)?

Ref ISL 2007-01, Question 11
           ISAC Volunteers
Volunteers are not expected to assist you on a
 recurring basis.
Your assigned DSS Industrial Security
 Representative must be contacted regarding
 NISPOM requirements.
     DSSAcademy Courses
New On-Line Courses Include:

Transmission and Transportation for Industry (IS107-16)
Visits and Meetings in the NISP Course (IS105.16)
Derivative Classification (IF103.16)
Original Classification (IF102.16)
Security Classification Guidance (IF101.16)

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