Automated Clean-Case Electronic Adjudication "eAdjudication" for SECRET-Level Cases (2009)
Based on national security policy and the best practices of expert adjudicators, empirical research was used to develop an automated electronic adjudication "eAdjudication" method that reliably detects and documents adverse information of security concern in the results of background investigations for individuals needing to obtain or renew to maintain eligibility to access classified information (i.e., a security clearance). Starting in 2009, approximately 30% of SECRET level clearances for DoD organizations using eAdjudication were automatically approved, saving the government, industry and taxpayers millions of dollars, and substantially expediting the process of clearance applications and renewals.
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Rapid Assessment of Incomplete Security Evaluations (RAISE) System for Monitoring Investigation Quality (2009)
PERSEREC developed a system for assessing the completeness and quality of background investigative results sent to DoD adjudication facilities. Data obtained from the "Rapid Assessment of Incomplete Security Evaluations" (RAISE) system is necessary to assess and improve the conduct and reporting of clearance background investigations.
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Review of Adjudication Documentation Accuracy and Rationales (RADAR) Method for Monitoring Adjudication Documentation Quality (2009)
PERSEREC developed improved standards for documenting critical details of adjudication decisions regarding applications and renewals of eligibility for accessing classified information (i.e., security clearances). Those standards were then incorporated into a system that PERSEREC created for assessing the adjudication documentation completeness and quality. Data obtained from the "Review of Adjudication Documentation Accuracy and Rationales" (RADAR) system are necessary to monitor and improve adjudication processes.
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Produced an Adjudicative Desk Reference (1999, 2007)
The Adjudicative Desk Reference (ADR) is a comprehensive collection of background information on the 13 categories of behavior that are considered when determining an individual's eligibility for a security clearance. This background information is not U.S. Government policy and may not be cited as authority for denial or revocation of access. It has been approved by the interagency Personnel Security Working Group as a job aid to assist security clearance adjudicators, personnel security investigators, and security managers in implementing personnel security policy. It has also proven useful to appeals panels and lawyers dealing with security clearance decisions, personnel officers making suitability and trustworthiness decisions, and Employee Assistance Program counselors. Last updated March 2007.
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Improved the Predictive Accuracy of Industry Personnel security Investigation Requirements (2007)
The 2000 Defense Authorization Bill included a mandate that the Department of Defense (DoD) assess personnel security investigation (PSI) requirements. Accurate PSI predictions are critical so that DoD can develop budgets to cover industry PSI expenses and adjudication workload. In 2004, PERSEREC conducted research and developed an adjusted prediction method to improve prediction accuracy for industry PSI requirements. In 2005, PERSEREC briefed the recommendations to Defense Security Service (DSS), which successfully implemented more effective methods for collecting PSI survey data from cleared facilities and applied recommended statistical procedures for making accurate PSI workload predictions. Key implementation efforts included (1) developing an online application with automated quality control features for collecting annual industry PSI survey data faster and more completely, (2) assisting the largest cleared facilities in using improved methods for aggregating and estimating corporate-wide PSI requirements, (3) evaluating statistical methods for correcting PSI survey data to improve predictive accuracy, and (4) encouraging greater participation in the annual survey of cleared facilities. Examples of successful results included raising survey participation rates from under 20% (in FY05) to approximately 86% (in FY07), and improving predictive accuracy from approximately 59% discrepancy between predicted and actual PSI submissions (in FY06) to approximately 3% discrepancy (in FY07). This accuracy now complies with the OMB requirement of having no more than 5% discrepancy between projected and submitted PSIs.
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Produced a Customizable Employee’s Guide to Security Responsibilities (2001, 2006)
This web-based guide is an unclassified, automated, comprehensive reference work that makes a wide range of security and threat awareness information readily accessible with a few mouse clicks on the computer desktop of all employees. It brings the information revolution to security awareness and education. It is intended to be customized to meet an organization’s specific circumstances and needs. It can be downloaded and installed on an organization’s local area network (LAN) or intranet, and then promoted as a centerpiece of its security awareness program.
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Identified Reportable Counterintelligence and Security Indicators (2005)
PERSEREC recently conducted a study of supervisor and coworker reporting of security-related information. Explanations were offered by security managers and by focus group participants as to why many security-related behaviors are underreported. The main problem is that people are hesitant to report suitability behaviors, such as excessive drinking, because they are not able to see a direct link between the particular human problem and national security. Consequently, PERSEREC developed a clear, succinct list of behaviors that could pose a potential threat to national security and thus should be reported if observed. Members of various counterintelligence agencies in the government reviewed and edited this list. It has since been included as Enclosure 3 in DoD Instruction 5240.6 Counterintelligence Awareness, Briefing, and Reporting Programs. In addition, PERSEREC developed a brochure based on these items as an educational tool to help DoD components and other departments that have need of security education materials on supervisor and coworker reporting or for counterintelligence briefings.
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Drafted Adjudicative Guidelines Updates Leading to Changes in the National Standard (2005)
The current Adjudicative Guidelines were approved by the President in 1997. The NSC required an evaluation of the effectiveness and efficiency of the new guidelines. When it became apparent that updates and some revisions were needed, PERSEREC prepared draft changes and coordinated them within DoD. These changes were then reviewed by a Personnel Security Working Group (PSWG) subcommittee and subsequently approved by the full PSWG and the National Security Council (NSC). These changes were forwarded to the Office of the President for approval in June 2005.
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Originated Phased SSBI-PR Implemented (2005)
PERSEREC developed a new reinvestigation model—a two-phase Single Scope Background Investigation-Periodic Reinvestigation (SSBI-PR). Data gathered from many agencies within the Federal government showed unequivocally that if the initial so-called Phase 1 sources in the SSBI-PR do not yield issue-relevant information, the Phase 2 sources, reference and residence interviews, rarely are productive. In the new reinvestigation model, Phase 1 sources are used for all subjects but an investigation is only expanded to include Phase 2 sources if any of the Phase 1 sources revealed issue information. PERSEREC worked with the intelligence and security communities, senior officials in the DoD, the Personnel Security Working Group (PSWG), and the National Security Council (NSC). The policy was signed off by the President in December 2004, and was fully implemented by the Federal Investigative Services Division of the Office of Personnel Management (OPM) in FY07. Approximately 87,500 Top Secret (TS)/Sensitive Compartmented Information (SCI) SSBI reinvestigations were scheduled for DoD in FY08 by OPM. Sixty-one percent of these reinvestigations were requests for Phased SSBI-PRs. Because phased PRs in FY08 cost about $650 less than SSBI-PRs, DoD realized a cost avoidance of over $34 million. This cost avoidance will increase during the out years as a greater percentage of Phased PRs are requested by DoD agencies. In addition, Phased PRs are more timely than SSBI-PRs. In FY08, Phased PRs were completed on the average in about 120 days faster than SSBI-PRs.
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Developed a System for Automated Continuous Evaluation (2005)
A beta test of the Automated Continuous Evaluation System (ACES) Version 1.1 was conducted on 12,710 individuals holding Top Secret clearances at the midpoint between their regularly scheduled periodic reinvestigation. Seven DoD central adjudication facilities (CAFs) participated in the beta test by reviewing issue cases generated by ACES between August 2004 and February 2005. The adjudicators participating in the ACES pilot indicated that the system ran successfully, asking for only a few adjustments to the ACES business rules in order to reduce the number of minor issues identified by the system.
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Provided Guidance for Supervisor and Coworker Reporting of Information of Security Concern (2003)
PERSEREC interviewed senior policymakers and practitioners in 20 federal agencies, conducted two literature reviews, and facilitated a series of focus groups among rank-and-file employees in the field. The research showed that although people were reluctant to report gray-area behaviors ("the more personal things," as one interviewee put it), they were quite willing to report serious security and counterintelligence infractions. They just want to know what such infractions are. An outgrowth of the report was the development of a brochure to help the coworker understand what serious counterintelligence behaviors they should report.
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Published a Guide for Preventing and Responding to School Violence (1999)
PERSEREC published the Guide for Preventing and Responding to School Violence on behalf of the International Association of Chiefs of Police (IACP). The guide brings together the expertise of over 500 school violence experts and school community members from around the nation. The document was distributed to every military base, police precinct, and sheriff's department in the nation who in turn disseminated the information to their local schools.
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Provided Guidelines for Combating Workplace Violence (1996)
In collaboration with the International Association of Chiefs of Police (IACP), PERSEREC produced guidelines for combating workplace violence for employers and for law enforcement officers. The guide focuses on violence committed by insiders—coworkers, supervisors, or family members of employees—within a common worksite. Guidelines for employees and for police departments are presented in separate sections. These guidelines were developed with input from hundreds of chiefs, command level officers, employees, lawyers, and security professionals. They can be used as benchmarks for helping assess the state of an organization’s current policies and practices and pre-incident violence prevention as well as guidance for addressing violent or threatening incidents. This guide has been widely disseminated and is credited with the prevention or mitigation of workplace violence in both government and industry.
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Improved Due Process for Adverse Personnel Determinations in DoD (1995)
PERSEREC completed a study to assess the advisability of establishing an independent board or boards for the appeal of adverse personnel security determinations in the DoD. Current appeal procedures were described and assessed. Alternatives for more independent appeal procedures were presented, including their advantages and disadvantages relative to current procedures. DoD implemented our recommendations to have appeal boards in each of the components with an adjudication facility. This recommendation was also incorporated into the Executive Order (E.O.) 12968. We also provided implementation procedures for appeal boards and procedures for adjudication facilities to use in notifying personnel of adverse personnel security determinations.
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Developed Military Applicant Security Screening (MASS) (1994)
PERSEREC developed a computer-based security screening instrument for use with applicants to military service. MASS permits personnel security interviews to be conducted by classifiers before an applicant is assigned to sensitive duties. The program prompts the interviewer to ask questions about the applicant’s background and branches into more detailed questions when answers indicate the possibility of derogatory information. This program has been fully adopted by the Navy.
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Developed Adjudicative Criteria (1994)
PERSEREC developed adjudication criteria that were to be used for the National Industrial Security Program (NISP). These criteria were based on personnel security research, recent findings in the medical arena, and existing criteria used by DoD, Department of Energy (DOE), and the intelligence community. The criteria were reviewed by interagency working groups and later became the adjudicative criteria for the Executive Branch issued by a 1997 memorandum by the Assistant to the President for National Security Affairs. In 2000 a study was undertaken by PERSEREC to determine how these guidelines have been implemented by the Department since 1998. The study recommended a number of adjustments to improve specific guidelines and the information provided by the investigative standards.
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Developed an Automated Credit Report System (1994)
PERSEREC developed a system for automating the credit report acquisition and initial screening process at Defense Security Service (DSS). This system became fully operational at the Personnel Investigations Center (PIC) during Fiscal Year 1994 and reduced the cost of background investigations by significantly lowering the cost of acquiring credit report information. It more than paid for itself during the first few months of operation. The system also prints credit reports in a user-friendly format we helped develop, integrates multiple credit reports pertaining to the same person into a single credit report, and identifies financial issue cases by applying the DSS decision logic table guidelines to the data.
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Recommended Consolidation of Adjudication (1992)
The objective of this recommendation was to improve efficiency and effectiveness through greater consolidation of DoD adjudication facilities. We briefed the Assistant Secretary of Defense on consolidation options, which resulted in a decision to consolidate adjudications into one facility for each military department and to assign responsibility for defense agency adjudications of collateral and Sensitive Compartmented Information to two existing facilities. In all, this resulted in a reduction from 18 to 8 adjudication facilities with a projected cost savings of $21 million over the first 5 years.
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Enhanced the Productivity and Scope of Background Investigations (1991, 1996)
PERSEREC directed a study in 1990 of the Special Background Investigations (SBI) that was used by all Federal intelligence agencies for granting access to Sensitive Compartmented Information. Results indicated that the subject of the SBI was an important source of background information and that most derogatory information was generated by the past 10 years of the subject's life. This study was used to set the investigative standards of National Security Directive 63, which implemented a Single Scope Background Investigation (SSBI) for access to all classified information. It also established a subject interview as an integral investigative source and reduced the length of background coverage to 10 years. In 1995, we directed another study of the productivity of sources used in the SSBI. This study involved four Federal agencies: Central Intelligence Agency (CIA), DoD, National Reconnaissance Office (NRO), and Office of Personnel Management (OPM). It showed that the subject provided the issue information in 81% of the cases and that 97.6% of the issue cases were developed within a 7-year scope.
This study was used to set the investigative standards of Executive Order 12968.
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Developed a Screening System for Marine Security Guards (1989)
PERSEREC developed a screening system for Marine Security Guards (MSG) at U.S. embassies in response to the Lonetree espionage incident. The security screening continuing evaluation system assists Naval decisionmakers to assess that the MSGs are trustworthy and reliable.
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