Adjudicative Guidelines and Investigative Standards in the Department of Defense

Abstract

The public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to Department of Defense, Washington Headquarters Services, Directorate for Information Operations and Reports (0704-0188), 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number.PLEASE DO NOT RETURN YOUR FORM TO THE ABOVE ADDRESS. 1.REPORT DATE (DDMMYYYY) PrefaceThis study is an in-depth look within the Department of Defense at the implementation of the new Adjudicative Guidelines for determining clearance eligibility for access to classified information and at the extent to which the new Investigative Standards support these adjudicative decisions. This study has required the cooperation and support of numerous people in the Department. We want to expressly thank the Adjudicators, Administrative Judges, and Personnel Security Appeal Board members who responded to our survey and offered a community perspective that has been essential to the success of this project. We also want to thank the senior Adjudicators and Administrative Judge who participated in our workshop. Their willingness to adjudicate complex cases and to discuss openly all aspects of the new Adjudicative Guidelines provided a realistic, practical view of the application of the new Guidelines and Standards. Additionally, the workshop would not have been productive without the support of the Chiefs of the Central Adjudication Facilities who provided the case materials used in the sessions. These cases exemplify how complex and difficult the process of adjudication can be, and we have a great appreciation for their help. Finally, the support of the Director of Security and the Deputy Director, Personnel Security of the Office of the Assistant Secretary of Defense for Command, Control, Communication and Intelligence (OASD, C3I) was indispensable. We appreciate their guidance and assistance. James A. Riedel Director Executive SummaryThe President approved the Adjudication Guidelines and Investigative Standards to Executive Order 12968, Access to Classified Information, in 1997. These guidelines, which are more general and less prescriptive than earlier issuances, were implemented by the Department of Defense (DoD) in 1998. To determine the impact of the Guidelines and Standards on DoD personnel security practices, the Director of Security, Assistant Secretary of Defense for Command Control, Communication and Intelligence (ASD, C3I) tasked the Defense Security Research Cente...

Quality Assurance in Defense Adjudication: An Adjudicator Workshop for Defining and Assessing Quality

“…Three studies have led to the conclusion that there is a need for a systematic approach to defining and measuring quality in adjudication within the DoD. Reports have indicated: (1) there may be differences in how senior adjudicators and CAF officials apply adjudicative guidelines (Carney & Marshall-Mies, 2000); (2) the department needs to institute "peer review" "to ensure that the work produced meets quality control standards (DoD Office of the Inspector General, 1998); and (3) the Department should establish "common quality assurance mechanisms to identify any problem areas needing clarifying guidance or training" (General Accounting Office, 2001). The current study was undertaken to develop a definition of adjudication quality and outline the basic requirements for assuring the quality of DoD adjudications.…”

“…It can take up to three years for an adjudicator to become qualified for the full range of adjudicative issues. A recent PERSEREC report (Carney & Marshall-Mies, 2000) indicated that the civilian adjudication workforce has an average of 11 years of adjudicative experience. The civilian adjudicator workforce is currently being augmented by military reservists.…”

“…Three studies have led to the conclusion that there is a need for a systematic approach to defining and measuring quality in adjudication within the DoD. A Defense Personnel Security Research Center (PERSEREC) report on Adjudicative Guidelines and Investigative Standards in the Department of Defense (Carney & Marshall-Mies, 2000) indicated there may be differences in how senior adjudicators apply adjudicative guidelines and final CAF decisions. The report recommended a more detailed examination of consistency across and within the Department.…”