Will Speak about To Screen or Not to Screen

2. DavidHolmes Ozzy Ramos Don Cooper Will Speak about To Screen or Not to Screen Will Speak about Due Diligence: Liability vs Responsibility Will Speak about Security Clearances: “The Dash” President COO Agenda: Welcome remarks: Introduction of Speakers CEO CLOSING REMARKS Q & A

3. Mission: Our mission is to provide our clients with superior background screenings, risk management information, and human resources solutions that fully satisfy client needs, while protecting their interests with proven vetting techniques, processes, and tradecraft.

4. Objectives: • Clear up the misconceptions that pertain to background checks, security clearances, and background investigations • Combat Challenges through Innovation • Educate and Raise the Level of Awareness about Security Clearance and its related processes • Expose the Roles, Responsibilities, & Due Diligence that federal contractors should consider before bringing on new personnel on board

5. Why Are You Here? • Manager/Employee Responsibilities in recognizing threats • External factors • Lifestyle events and impact • Internal factors • Career/Professional events and impact • How to recognize and mitigate • Employee/Manager Responsibility when faced with above • Workforce Culture

6. Increase Your Knowledge on Security Clearances • What Is a Security Clearance? • The Security Clearance Process • The Investigative Process • Adjudication Process (13 Thirteen Adjudicative Guidelines) • Employer & Employee Individual Responsibilities • Background Screening & Security Clearances

7. Security Clearances • What is a Security Clearance? An administrative determination by a trained adjudicator that an individual is eligible from a security standpoint under national security standards for access to classified information. This determination is made based on a personnel security background investigation which is non-criminal in nature that covers specified activities over specified period of an individual’s life. Information collected must be sufficient to allow an affirmative or negative determination of a person's eligibility for access to classified information. • Why is a Security Clearance needed? Its efforts aide and ensures that national security matters are met by individuals meeting specified standards. Access to classified info, efforts to protect U.S. against acts of sabotage, espionage, terrorism, and subversion complements these efforts. • Who needs a Security Clearance? Individuals requiring access to, or who may be exposed to classified information in the performance of their assigned duties. • How to obtain a Security Clearance? Cannot be applied for by an individual. Security Clearance must be requested by an agency, company, or other entity that has a bona fide, legitimate, and ongoing need for access classified information.

8. TOP SECRET CONFIDENTIAL SECRET • (Serious Damage) • Required Form(s): Standard Form 85P (SF-85P): NAC with Law Enforcement & Credit Checks (NACLC): Includes electronic checks of various agency databases, local LE agency checks, credit, and written inquiries to education institutions and employments covering most recent 5 years of Subject’s life. • (Damage) • Required Form(s): Standard Form 85P (SF-85P). • Type Investigation: Usually a National Agency Check (NAC) with inquiries (NACI). Search of certain federal records, FBI finger print search, and written inquires to current and former employers covering the most recent 5-7 years of Subject’s life. • (Grave Damage) • Required Form(s): Standard Form 86 (SF-86). • Type Investigation: Single-Scope BI (SSBI): AKA: `Full-Field. Most in depth. Covers credit & financial, employments, neighborhoods, education verification, law enforcement & court record checks, interviews of references, foreign travel/associations, medical/mental health issues, former spouses/cohabitants. Covers most recent 10 years or back to 18th birthday (which ever is the shorter period). Levels of Access vs Types of Investigation Required

9. Programs • Special Access Programs (SAP): - Presidential (Yankee White) - Sensitive Compartmented Information (SCI) - SAPs may require Counterintelligence (CI) or Lifestyle (LS) Polygraphs • Periodic Reinvestigations/Updates are required at established intervals. Confidential: 15year intervals Secret: 10year intervals Top Secret: 5 year intervals Expiration of Security Clearance: If previously cleared, and not currently working in a cleared position your clearance is considered inactive and will expire after a two (2) year period. Initial investigation must be accomplished.

10. Three Phase Clearance Process • Application: Completion and submission of required PSQ forms, finger print cards, information releases, and any other specified documents & forms. Includes preliminary inquiries/checks and usually NAC is conducted on spouses, and on foreign born relatives/associates, cohabitants.  • Field Investigation :(Investigative leads usually conducted in all locations Subject has lived, worked or attended school. Period & activities covered depends on type of investigation and its respective coverage requirements). • Adjudication: A judgment rendered by a government agency clearance granting authority regarding a person’s eligibility & suitability for access to classified information based on investigative results in relationship to established criteria.

11. The Investigative Process • Case Assigned to Field Investigator(s): Fed Employees/Contractors: Trained, Certified and Credentialed by the Government agencies. Contractors are usually former/retired investigators. • Personal History/Activities Verified: (PID, Citizenship, Residences, Employment, Unemployment, \ Education, illegal Drug Use, Alcohol, Arrests, Marital, Foreign travel/Connections, Military, Civil Court Actions, and Credit and Financial issues. • Subject Interview (Voluntary): Review of Personnel Security Documents (usually CBR, PSQ and any other documents specified by the requesting agency) to ensure completeness, accuracy, currency, (obtain new info and/or clarify omissions/discrepancies). • Interview of References: Individuals who are familiar with, and associated with the Subject through Employment/Business, Neighborhood, Education or Social activities and interaction. May also include interviews of former spouses. • Record Checks & Reviews: (Usually Work, Residential, Education, Law Enforcement, Criminal Courts, Civil Courts (Judgments, Divorces, Bankruptcies, Liens, Repos), Credit/Financial records, and any other records, deemed relevant to the investigation. • Report of Investigation (ROI): Prepared and submitted by Field Investigators. Reviewed for completeness by Case Reviewers to ensure all required info has been covered and reported per federal and agency personnel security requirements. Once finalized, the ROI and associated documentation are forwarded to the requesting agency for adjudication.

12. The Adjudicative Process Performed by Certified Adjudicator • Individual specifically trained in the process of reviewing and evaluating security clearance information. • Reviews the results of the investigation and compares it to established qualifying eligibility criteria. Requires examination and assessment of all relevant information contained in the ROI and associated documentation pertaining to the periods of Subject’s life covered by the investigation, for the purpose of making a definitive and affirmative determination that the person is an acceptable security risk. Simply put, it’s a judgment concerning a person’s eligibility and suitability for access to classified information based on the established criteria in: “The 13 Adjudicative Guidelines”.

13. The 13 Adjudicative Guidelines • Allegiance to the USA • Foreign Influence • Foreign Preference • Sexual Behavior • Personal Conduct • Financial Considerations • Drugs • Alcohol • Mental Illness • Criminal Activities • Security Violations • Outside Activities • Misuse of Information Technology

14. The Whole Person Concept “Whole Person Concept”: If there are incidents, actions, or other issues that raise questions concerning a person’s honesty, character, or integrity, the “Whole Person Concept” (WPC) is always used. Employing the WPC involves the careful weighing of a number of variables which includes; all available and reliable information about the person, past and present, (both favorable and unfavorable), when making a clearance eligibility determination.

15. Adjudication: Mitigating Factors WPC TAKES INTO CONSIDERATION The nature, extent, and seriousness of the conduct; The circumstances surrounding the conduct, to include knowledgeable participation; The frequency and recentness of the conduct; The individual's age and maturity at the time of the conduct; The voluntariness of participation; The presence or absence of rehabilitation and other permanent behavioral changes; The motivation for the conduct; The potential for pressure, coercion, exploitation, or duress; and The likelihood of continuation or recurrence.

16. Adjudication: Final Determination Each case judged on its own merits and final determination remains the responsibility of the specific department or agency. National Security interests are always the determining consideration: 1. Ultimate determination for granting eligibility for a security clearance must be clearly consistent with the interests of national security. 2. Final determination must be an overall common sense determination based upon careful consideration of all available information. 3. If there are any doubts, determination will always be made in the interests of national security.

17. Favorable & Unfavorable Determinations Denials & Revocation Favorable Determination: - Clearance is awarded by agency Note: The Defense Industrial Security Clearance Office (DISCO) adjudicates and awards all clearances for industry (contractors). Unfavorable Determination: - Individual notified by agency - Right to appeal under due process - Hearing/may retain legal counsel Final Denial & Revocations: - May reapply in two (2) years - Current clearance may be revoked for cause

18. The Dilemma of “The Dash” • What the security clearance process does and doesn’t do! • Approx. 5 Million people with security clearances • Approx. 1.4 Top Secret (Approx. 480,000 contractors) • The Misconception About Periodic Re-investigations • Self Reporting Issues • Dealing with the Dilemma of ”The Dash”

19. NOT to Screen, and When to Screen?That is theQuestion ToScreenor

20. What’sWrong with this Picture?

21. Roles & Responsibilities • Federal Contractors (Prime & Subs) • Mandated Requirements • Dissected by the Compliance Officer and/or the Contract Office Technical Representative • Communicated to Program Manager & Facility Security Manager • Adhere to Compliance Requirements • Action Forwarded to • Recruiters • Human Resource Management and Personnel Staff • Third Party Vendors

22. 10 Most Commonly Made Mistakes that Puts Employers “At Risk” • Hiring friends, relatives, referrals, or former industry workforce associates. • The common made assumption that hiring people with a “security clearance” have no current issues associated with hiring them for employment. • Hiring individuals solely based on their resume and prior employment without verifying the validity and authenticity of their claimed qualifications, education, or professional credentials and certifications. • Issuing offer letters which do not clearly state that the offer is contingent on the results of the background screening report, and/or placing the individual in critical position before the results are received. • Failing to establish and maintain effective and up-to-date pre-employment and on-going random drug screening programs.

23. 10 Most Commonly Made Mistakes that Puts Employers “At Risk” • Having no scheduled or periodic system in place after the hire and throughout the employees’ lifecycle with the company. • Having no effective or required “training and awareness” program in place that is designed to meet internal adherence and/or external third party requirements. (Program Managers) • Not fully aware or prepared to withstand a “negligent hiring or retention” lawsuit. • Complacency breeds “Negligence” and claimed “Ignorance” once in a dilemma in order to avoid liability. • Habitually in a REACTIVEstate of contention vice a PROACTIVE harmonious state of agreement.

24. C U CLEAR: Whole Person Concept 360 degrees approach 13 Adjudicating Principles Perpetual and Systematic Screenings Trust, but Verify Avoid Negligent Hiring & Retention Lawsuits Whole Person Concept Detect and Detour

25. Screen Out vice In

26. ToScreenor NOT to Screen, and When to Screen?Q&A