Security Clearance Reform
Current Status
Since IRTPA and E.O. 13467, the SecEA has instituted a variety of reform efforts to improve background investigation and adjudication timeliness, improve the quality of information used to make security clearance decisions, compile system-wide metrics, and assess and oversee personnel security program implementation across the executive branch. With increasing cybersecurity threats and incidents, and large classified information leaks coupled with background investigation backlogs, there will be the need to drive continuous and future security clearance reforms.
As the SecEA, the DNI is the champion for reform activities that include the issuance of guidance, training, oversight, and implementation assessment that are vital for standardizing and improving Executive Branch personnel security programs. The Director of the National Counterintelligence and Security Center (NCSC) serves in support of the DNI’s role as SecEA to develop, implement, oversee and integrate personnel security initiatives throughout the U.S. Government.
Recent reform activities have focused on the following:
- The 2010 Intelligence Authorization Act (IAA) requires the President to submit an annual report on security clearance determinations to Congress and directs this report to include the number of U.S. Government employees and contractors who hold a security clearance at each level. SecEA gathers performance metrics government-wide on the timeliness of personnel security investigations, adjudication and reciprocal actions.
- The SecEA issues Executive Correspondence and Security Executive Agent Directives (SEADs) as a primary means of disseminating national security policy and requirements in order to institutionalize reform initiatives, provide a foundation to government-wide personnel security policies, and conduct oversight of processes related to security clearances and sensitive national security positions.
- In 2012 the Federal Investigative Standards (FIS) were jointly issued by Security and Suitability Executive Agents. FIS is a critical security clearance reform initiative that established new federal investigative criteria to conduct background investigations to determine eligibility for logical and physical access, suitability for U.S. Government (USG) employment, eligibility for access to classified information or to hold a sensitive position, and fitness to perform work for or on behalf of the USG as a contractor employee.
- SecEA considers Agency Head requests for delegated authority, or modification of their existing authority, to conduct personnel security investigations and adjudications.
- Ensuring reciprocal recognition among the USG agencies for eligibility of access to classified information and eligibility to hold a sensitive position, including acting as the final authority to arbitrate and resolve disputes involving the reciprocity of investigations and eligibility determinations.
- Reducing the backlog of periodic reinvestigations (PR). The SecEA issued guidance directing agencies to prioritize out of scope background investigations and focus on their required PRs. The FY 16 Omnibus Appropriation, H.R. 2029-673 requires the DNI to develop a plan to eliminate the backlog of PRs.
- Expansion of eAdjudication (electronic adjudication) to other types of national security and suitability investigations offers the opportunity to improve clearance processing and permit adjudicators to focus on investigations presenting adjudicative issues.
- The Quality Assessment Standards (QAS) were approved by the PAC on 22 January 2015. The QAS Implementation Plan was approved 1 April 2016, which identified separate milestones for Departments and Agencies (D/As) that are only assessing the quality of background investigations (BIs) and those D/As that are responsible for conducting BIs and assessing their quality.
Security Clearance Reform - Overview
The Intelligence Reform and Terrorism Prevention Act of 2004 (IRTPA) called for improvements in the U.S. Government’s security clearance processes. The Director of National Intelligence (DNI) and the Undersecretary of Defense for Intelligence co-authored a charter to establish a Joint IC/DoD Security Clearance Reform Team that convened on 18 June 2007. Additionally, Executive Order (E.O.) 13467, Reforming Processes Related to Suitability for Government Employees, Fitness for Contractor Employees, and Eligibility for Access to National Security Information, and Executive Order 13764 amended and clarified several personnel security-related statutory and executive authorities when creating the DNI’s Security Executive Agent (SecEA) role. The SecEA is a key figure with Security Clearance Reform and is a Principal member on the Suitability and Security Clearance Performance Accountability Council (PAC). Chaired by Office of Management and Budget, the PAC is the principal interagency forum for ensuring the alignment of security clearance and suitability processes across the Executive Branch.
The IC develops and maintains intelligence and information sharing relationships with international, military, domestic, and private sector partners to promote intelligence-related communications, standardize processes for collaboration, lead coordination of IC information sharing and foreign liaison issues, identify emerging issues, forge solutions in support of military operations, and maximize the use of private sector information and expertise to support intelligence missions while protecting privacy and civil liberties. Examples of these activities include:
In-STeP: The Intelligence Science & Technology Partnership
Purposefully inclusive, the In-STeP program casts a broad net. If a given technology, research effort, or idea advances the state of the art with respect to IC interests, In-STeP wants to know about it, regardless of origin. Information exchange and key partnerships with the private sector, various research centers, and a diversity of other technology providers are vital to ensuring that the IC maintains access to world-class technology, as well as a strong posture against technological surprise. An essential component of that exchange is for partners to understand the IC’s often-unique S&T needs, so their research and development can be tailored toward fielding capabilities that ultimately solve intelligence challenges. Visit the In-STeP website to learn more.
IARPA
The Intelligence Advanced Research Projects Activity invests in high-risk/high-payoff research to provide the U.S. with an overwhelming intelligence advantage. As the only research organization within the ODNI, IARPA works with the other 16 IC elements to address the IC’s most challenging problems that can be solved with science and technology.
IARPA performs no research in-house; rather, it funds researchers in colleges, universities, companies, National Labs, and other organizations, in fields as diverse as artificial intelligence, asset validation and identity intelligence, bio-security, chemical detection, cyber security, high performance computing, human judgment, linguistics, radio frequency geolocation, and secure manufacturing of microelectronics.
In addition to using traditional contracts and grants, IARPA uses public challenges to award cash prizes to researchers for innovative solutions that achieve specific goals. To date, IARPA has funded over 500 unique organizations (academia, small businesses, large businesses and non-profits). Over 1,500 unique bidders have been part of research proposals and abstracts submitted to IARPA.
GLOBAL TRENDS
Every four years since 1997, the National Intelligence Council has published its Global Trends report, an unclassified strategic assessment of how key trends and uncertainties might shape the world over the next 20 years to help senior US leaders think and plan for the longer term. The report is timed to be especially relevant for the administration of a newly elected U.S. President, but Global Trends increasingly has served to foster discussions about the future with people around the world.
These global consultations, both in preparing the paper and sharing the results, help the NIC and broader U.S. Government learn from perspectives beyond the United States and are useful in sparkling discussions about key assumptions, priorities, and choices.
Since 1979, the NIC has served a bridge between the intelligence and policy communities, as well as a facilitator for outreach to outside experts. The NIC's National Intelligence Officers, drawn from government, academia and the private sector, are the IC's senior substantive experts on a range of issues and work under the auspices of the ODNI.
The NIC covers the regions of the world as well as functional topics, such as economics, security, technology, cyber, terrorism, and the environment. The NIC coordinates Intelligence Community support for U.S. policy deliberations while producing papers and formal National Intelligence Estimates (NIEs) on critical national security questions.
The IC’s authority to conduct intelligence activities is governed by numerous laws and regulations. Of primary importance is Executive Order 12333, United States Intelligence Activities. Most recently amended in 2008, the executive order sets strategic goals and defines roles and responsibilities within the IC, while also affirming the Nation’s commitment to protect Americans’ civil liberties and privacy rights in the conduct of intelligence activities.
Executive Order 12333 establishes this balance by prescribing general principles governing intelligence collection, retention and dissemination, and by specifying that intelligence activities concerning U.S. persons may only be conducted in accordance with procedures established by the element or department head and approved by the Attorney General, after consultation with the Director of National Intelligence.
Intelligence Oversight
Intelligence oversight is a mechanism to ensure that the IC conducts intelligence activities in a manner that that achieves the proper balance between the acquisition of essential information and protection of individual interests. The oversight is performed by entities inside and outside of the IC, which allows the IC to account for the lawfulness of its intelligence activities to the American people, to Congress, to the President and to itself. ODNI engages and coordinates with the following entities in advance of actions where appropriate and provides reports or briefings of intelligence activities to the entities.
The Intelligence Community
ODNI has several offices responsible for oversight functions, to include the Office of General Counsel, the IC Inspector General, and the Office of Civil Liberties, Privacy and Transparency. Each of these offices work to ensure that ODNI operates in a manner that promotes IC-wide positive impact that is in accordance with the Constitution and other laws, regulations, executive orders and directives or policies. Each element has similar offices that assist in oversight for the respective element.
Executive Branch
President's Intelligence Advisory Board (PIAB) -- The PIAB is an element within the Executive Office of the President. The PIAB exists exclusively to provide the President with an independent source of advice on the effectiveness with which the IC is meeting the nation’s intelligence needs and the vigor and insight with which the community plans for the future. The PIAB consists of not more than 16 members selected from distinguished citizens outside the government. The PIAB has access to all information necessary to perform its functions.
The Intelligence Oversight Board (IOB) -- The IOB, a standing committee of the PIAB since 1993, consists of not more than four members of the PIAB appointed by the Chairman of the PIAB. The IOB is charged with overseeing the IC’s compliance with the Constitution and all applicable laws, Executive Orders, and Presidential Directives.
Privacy & Civil Liberties Oversight Board (PCLOB) -- The PCLOB is an independent agency established by the Implementing Recommendations of the 9/11 Commission Act, Pub. L. 110-53, signed into law in August 2007. Composed of four part-time members and a full-time chairman, the Board's responsibilities comprise two basic functions: oversight and advice. In its oversight role, the Board is authorized to continually review the implementation of executive branch policies, procedures, regulations, and information sharing practices relating to efforts to protect the nation from terrorism, in order to ensure that privacy and civil liberties are protected and to determine whether they are consistent with governing laws, regulations, and policies regarding privacy and civil liberties. In its advice role, the Board is authorized to review proposed legislation, regulations, and policies (as well as the implementation of new and existing policies and legal authorities), in order to advise the President and executive branch agencies on ensuring that privacy and civil liberties are appropriately considered in their development and implementation. The Board is also directed by statute to, when appropriate, coordinate the activities of federal agency privacy and civil liberties officers on relevant interagency matters.
Office of Management and Budget (OMB) -- OMB is part of the Executive Office of the President. OMB carries out its mission through five critical processes that are essential to the President’s ability to plan and implement his priorities across the Executive Branch: (1) Budget development and execution; (2) Management, including oversight of agency performance, human capital, Federal procurement, financial management, and information technology; (3) Regulatory policy, including coordination and review of all significant Federal regulations by executive agencies (4) Legislative clearance and coordination; (5) Executive Orders and Presidential Memoranda.
Legislative Branch
Pursuant to Section 502 of the National Security Act of 1947, which states that the heads of the IC agencies shall “keep congressional intelligence committees fully and currently information of all intelligence activities of the United States,” ODNI ensures that congressional committees are apprised of the activities of the IC, by providing notice of any significant anticipated intelligence activities and notice of potential intelligence failures.
The Office of Legislative Affairs (OLA) is the principal interface between the ODNI and the Congress. In addition to providing support and legislative strategy to the ODNI senior leadership, OLA serves as a focal point within the Intelligence Community Legislative Affairs cadre for legislative views, which are provided to the Office of Management and Budget as part of its interagency coordination process.
OLA serves as a focal point for the Intelligence Community for the production of the Annual Threat Assessment provided to Congress each year. The Director of National Intelligence traditionally serves as the principal witness, although other IC agencies senior representatives join the witness table. These hearings usually involve open and/or closed sessions before separate intelligence oversight and national security committees; open hearings often are televised. The National Intelligence Council works closely with OLA to coordinate the preparation and execution of these hearings.
In addition, the President’s annual budget request for the National Intelligence Program normally results in additional closed hearings. The Office of the Assistant Director of National Intelligence – Chief Financial Officer works closely with OLA to coordinate the preparation and execution of these hearings.
Judicial Branch
The Foreign Intelligence Surveillance Court was established in 1978 when Congress enacted the Foreign Intelligence Surveillance Act (FISA). The Court sits in Washington D.C., and is composed of eleven federal district court judges who are designated by the Chief Justice of the United States. Each judge serves for a maximum of seven years. By statute, the judges must be drawn from at least seven of the United States judicial circuits, and three of the judges must reside within 20 miles of the District of Columbia.
Pursuant to FISA, the Court entertains applications submitted by the United States Government for approval of electronic surveillance, physical search, and other investigative actions for foreign intelligence purposes. Most of the Court’s work is conducted ex parte as required by statute, and due to the need to protect classified national security information.
Additionally, the FISC assesses sufficiency of IC foreign intelligence procedures and receives compliance reports from the IC concerning violations of FISA.
The Intelligence Community’s role is to provide timely, insightful, objective, and relevant intelligence to inform decisions on national security issues and events; the IC does not make policy recommendations.
IC ANALYTIC STANDARDS
Analytic objectivity and sound intelligence tradecraft ensure our nation’s leaders receive unbiased and accurate intelligence to inform their decisions.
The Intelligence Reform and Terrorism Prevention Act (IRPTA) mandated that the Office of the Director of National Intelligence “assign an individual or entity to be responsible for ensuring that finished intelligence products produced by the intelligence community are timely, objective, independent of political considerations, based on all sources of available intelligence, and employ the standards of proper analytic tradecraft.”
ODNI has further codified these standards in Intelligence Community Directive (ICD) 203, Analytic Standards. The IC Analytic Standards were established in 2007, and revised, revalidated, and approved by the DNI in January 2015.
ICD 203
These analytics standards govern the production and evaluation of analytic products, articulate the responsibility of intelligence analysts to strive for excellence, integrity and rigor in their analytic thinking and work practices, and delineate the role of the ODNI Analytic Ombuds. ICD 203 serves as a common foundation for developing education and training in analytic skills.
The Directive articulates five Analytic Standards, which demand that analysis be: objective, independent of political consideration, timely, based on all available sources, and "implement and exhibit" nine Analytic Tradecraft Standards:
- Properly describe the quality and credibility of underlying sources, data and methodologies
- Properly express and explain uncertainties associated with major analytic judgments
- Properly distinguish between underlying intelligence information and analysts' assumptions and judgements
- Incorporate analysis of alternatives
- Demonstrate customer relevance and address implications
- Use clear and logical argumentation
- Explain change to or consistency of analytic judgements and bring significant differences in analytical judgement, such as between two IC analytic elements, to the attention of consumers
- Make accurate judgments and assessments
- Incorporate effective visual information where appropriate
REVIEW & EVALUATION
IRTPA Section 1020 tasked the ODNI with identifying a Safeguard of Objectivity in Intelligence Analysis to be available to analysts to counsel, conduct arbitration, offer recommendations, and, as appropriate, initiate inquiries into real or perceived problems of analytic tradecraft or politicization, biased reporting, or lack of objectivity in intelligence analysis. This safeguard is the ODNI Analytic Ombuds. ICD 203 directs the heads of IC elements to designate a similar individual or office to respond to concerns raised by the element’s analysts about adherence to analytic standards.
The ODNI Analytic Ombuds meets its IRTPA mandated responsibilities by:
- Serving as the principal advisor to the DNI on safeguarding analytic objectivity
- Responding to analysts' inquiries for independent, impartial, informal, confidential counsel to resolve objectivity concerns
- Administering a survey of analysts to evaluate how well the IC is preserving objectivity
IRTPA also requires ODNI to perform detailed reviews of analytic products. ICD203 further directs that IC elements conduct internal programs of review and evaluation of analytic intelligence products using the IC Analytic Standards as the core criteria, and provide annual status reporting to ODNI.
ODNI meets its IRTPA mandated responsibilities by:
- Evaluating hundreds of finished analytic products from all IC elements;
- Conducting interviews among senior IC customers.