Security Clearances
FBI Has Enhanced Its Process for State and Local Law Enforcement Officials Gao ID: GAO-04-596 April 30, 2004The free flow of information among federal, state, and local law enforcement agencies could prove vital to fighting the war on terrorism. State and local law enforcement officials are key stakeholders in the United States' efforts to combat terrorism, and as such, they may require access to classified national security information to help prevent or respond to terrorist attacks. In order to gain access to such information, state and local law enforcement officials generally need federal security clearances. The Federal Bureau of Investigation (FBI) grants security clearances and shares classified information with state and local law enforcement officials. Immediately following September 11, 2001, some state and local law enforcement officials expressed frustration with the complexity of the process for obtaining security clearances. Others expressed frustration with the length of time it took to obtain a security clearance. These frustrations exacerbated the general concern among law enforcement stakeholders that the lack of security clearances could impede the flow of critical information from the FBI to the state and local level, from the state and local level to the FBI, and laterally from one state or local agency to another. In turn, this potential lack of access to critical terrorism-related information might place local law enforcement officials at a disadvantage in their efforts to respond to or combat a terrorist threat. The Ranking Minority Member, Subcommittee on Administrative Oversight and the Courts, Senate Committee on the Judiciary asked us to examine several issues regarding the FBI's process for granting security clearances to state and local law enforcement officials. This report provides information on: (1) the FBI's process for granting security clearances to state and local law enforcement officials, (2) the extent to which the FBI has met its time frame goals for processing security clearance applications for state and local law enforcement officials and factors that could affect the timely processing of security clearance applications, and (3) efforts undertaken by the FBI to enhance its security clearance and information-sharing processes with state and local law enforcement officials.
The FBI's process for granting access to classified information requires state and local law enforcement officials to undergo the same background investigation and adjudication procedures as do individuals who have an employment relationship with the federal government and require access to classified national security information. The FBI's goal is to complete the processing for secret security clearances within 45 to 60 days and top secret security clearances within 6 to 9 months, beginning with the FBI headquarters' receipt of the application from the FBI field office. Since September 11, about 92 percent of applications for top secret security clearances were processed within the FBI's time frame goals. During this same period, about 26 percent of secret security clearance applications were processed within the FBI's time frame goals, although substantial improvements have been made in the most recent quarters for which we have data. The FBI was more successful with processing top secret security clearances within its stated time frame goals than secret security clearances, in part because the FBI often assigns greater priority to processing applications for state and local Joint Terrorism Task Force (JTTF) members, who are required to have top secret clearances. For either secret or top secret security clearance applications, processing timeframes can vary depending on the complexity of individual cases. The FBI has taken a number of steps to enhance its process for granting security clearances to, and sharing information with, state and local law enforcement officials. One of the impediments highlighted was the state and local officials' and the FBI field office staff's lack of a clear understanding of the FBI's security clearance granting process. In response to this impediment, the FBI headquarters widely distributed step-by- step guidance to state and local law enforcement officials and reeducated the FBI field staff on the FBI security clearance process and goals. In addition, the FBI added staff to its headquarters unit responsible for adjudicating state and local security clearance applications and created databases to track state and local security clearance applications. Efforts undertaken by the FBI to enhance information sharing with state and local officials include increasing the number of JTTFs from 35 to 84 and increasing state and local law enforcement officials' participation on these forces. Serving on JTTFs provides state and local law enforcement officials the opportunity to interact with the FBI on a daily basis. The FBI also circulates declassified intelligence through a weekly bulletin and provides threat information to state and local law enforcement officials via various database networks.
GAO-04-596, Security Clearances: FBI Has Enhanced Its Process for State and Local Law Enforcement Officials
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Report to the Ranking Minority Member, Subcommittee on Administrative
Oversight and the Courts, Committee on the Judiciary, U.S. Senate:
United States General Accounting Office:
GAO:
April 2004:
Security Clearances:
FBI Has Enhanced Its Process for State and Local Law Enforcement
Officials:
GAO-04-596:
GAO Highlights:
Highlights of GAO-04-596, a report to the Subcommittee on
Administrative Oversight and the Courts, Committee on the Judiciary,
U.S. Senate
Why GAO Did This Study:
Since September 11, 2001, information sharing between the FBI and state
and local law enforcement officials has become increasingly important.
Although the majority of information the FBI shares with state and
local law enforcement officials is unclassified, these officials
sometimes need access to classified information, which requires that
they have a federal security clearance. This report describes (1) the
FBI‘s process for granting security clearances to state and local law
enforcement officials, (2) the extent to which the FBI has met its time
frame goals for processing security clearance applications for state
and local law enforcement officials and factors that could affect the
timely processing of security clearance applications, and (3) efforts
undertaken by the FBI to enhance its security clearance and information-
sharing processes with state and local law enforcement officials.
What GAO Found:
Federal government-wide policies, as implemented by the FBI, apply to
state and local officials seeking FBI-issued security clearances. The
security clearance process for state and local officials involves six
broad steps that consist of, among other things, an extensive
background investigation and an adjudication based on federal
government-wide criteria.
Since September 11, 2001, the FBI processed about 92 percent of top
secret security clearance applications within its time frame goals of 6
to 9 months. About 26 percent of secret security clearance applications
were processed within the FBI‘s time frame goals of 45 to 60 days,
although substantial improvements have been made in the most recent
quarters for which GAO has data. Time frames for completion of both top
secret and secret applications have decreased since 2001. For either
top secret or secret security clearance applications, processing time
frames can vary depending on various factors, including the complexity
of individual cases.
Average Number of Days for Completion of Security Clearance
Applications:
[See PDF for image]
[End of figure]
The FBI has enhanced its security clearance and information-sharing
processes with state and local law enforcement agencies and officials.
The FBI sent guidance on the security clearance process to its field
staff and added staff to its headquarters unit responsible for
processing state and local security clearance applications. To increase
information sharing with state and local law enforcement officials, the
FBI increased its number of Joint Terrorism Task Forces, which allow
state and local law enforcement officials to engage in counterterrorism
efforts directly with FBI officials, and has used a variety of
bulletins, briefings, and database networks.
Officials from the Department of Justice and the FBI reviewed a draft
of this report and generally concurred with GAO‘s findings.
www.gao.gov/cgi-bin/getrpt?GAO-04-596.
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Laurie Ekstrand at (202)
512-8777 or ekstrandl@gao.gov.
[End of section]
Contents:
Letter:
Results in Brief:
Background:
Federal Government-Wide Policies Apply to State and Local Officials
Seeking FBI-Issued Security Clearances:
The FBI Processed the Majority of Top Secret Security Clearances within
its Time Frame Goals; Secret Security Clearances Generally Missed the
Time Frame Goals, but Improvements Have Been Made:
The FBI and State and Local Officials Have Identified Process
Impediments and the FBI Has Taken Steps to Enhance the Security
Clearance Process and Information Sharing:
Agency Comments and Our Evaluation:
Appendix I: Scope and Methodology:
Figures:
Figure 1: Criteria for Granting Access to Classified Information:
Figure 2: FBI's Security Clearance Application Process for State and
Local Law Enforcement Officials:
Figure 3: Sample Pages from a Security Clearance Application:
Figure 4: Sample Fingerprint Card:
Figure 5: Granted Top Secret Security Clearance Processing Time Frames
from September 11, 2001, to December 8, 2003:
Figure 6: Average Number of Days for Completion of Top Secret Security
Clearance Applications:
Figure 7: Granted Secret Security Clearance Processing Time Frames from
September 11, 2001, to December 8, 2003:
Figure 8: Secret Security Clearance Processing Time Frames Comparing
the Period June 2003 to December 2003 with the Preceding Months:
Figure 9: Average Number of Days for Completion of Secret Security
Clearance Applications:
Figure 10: FBI Security Clearance Brochure:
Abbreviations:
BICS: Background Investigation Contract Service:
DOJ: Department of Justice:
FBI: Federal Bureau of Investigation:
JTTF: Joint Terrorism Task Force
LEO: State and Local Law Enforcement Executives and Elected Officials
Security Clearance Initiative
OLEC: Office of Law Enforcement Coordination:
United States General Accounting Office:
Washington, DC 20548:
April 30, 2004:
The Honorable Charles E. Schumer Ranking Minority Member Subcommittee
on Administrative Oversight and the Courts Committee on the Judiciary
United States Senate:
Dear Senator Schumer:
The free flow of information among federal, state, and local law
enforcement agencies could prove vital to fighting the war on
terrorism. State and local law enforcement officials are key
stakeholders in the United States' efforts to combat terrorism, and as
such, they may require access to classified national security
information to help prevent or respond to terrorist attacks. In order
to gain access to such information, state and local law enforcement
officials generally need federal security clearances. The Federal
Bureau of Investigation (FBI) grants security clearances and shares
classified information with state and local law enforcement officials.
Immediately following September 11, 2001, some state and local law
enforcement officials expressed frustration with the complexity of the
process for obtaining security clearances. Others expressed frustration
with the length of time it took to obtain a security clearance. These
frustrations exacerbated the general concern among law enforcement
stakeholders that the lack of security clearances could impede the flow
of critical information from the FBI to the state and local level, from
the state and local level to the FBI, and laterally from one state or
local agency to another. In turn, this potential lack of access to
critical terrorism-related information might place local law
enforcement officials at a disadvantage in their efforts to respond to
or combat a terrorist threat.
You asked us to examine several issues regarding the FBI's process for
granting security clearances to state and local law enforcement
officials. This report provides information on: (1) the FBI's process
for granting security clearances to state and local law enforcement
officials, (2) the extent to which the FBI has met its time frame goals
for processing security clearance applications for state and local law
enforcement officials and factors that could affect the timely
processing of security clearance applications, and (3) efforts
undertaken by the FBI to enhance its security clearance and
information-sharing processes with state and local law enforcement
officials.
According to FBI officials, most information that state and local
officials need is unclassified and can be shared without a security
clearance. If a security clearance is needed, it is generally needed at
the secret level. A secret security clearance may be granted to those
persons who have a "need to know" national security information
classified at the confidential or secret level.[Footnote 1] Top secret
security clearances are granted to those persons who have a need to
know national security information classified up to the top secret
level, and who need unescorted access to FBI facilities.[Footnote 2]
The Joint Terrorism Task Force (JTTF) and the State and Local Law
Enforcement Executives and Elected Officials Security Clearance (LEO)
Initiative are two mechanisms the FBI uses to partner with state and
local law enforcement officials. State and local law enforcement
officials assigned to JTTFs generally work full-time with FBI
investigators in FBI facilities. They require top secret security
clearances because of their daily, ongoing need to gain access to
information classified at the top secret level, FBI workspaces, and
other resources that may contain classified information. The LEO
initiative was created to brief officials with an established need to
know classified information that would or could affect their areas of
jurisdiction. In addition, granting security clearances to state and
local law enforcement officials was intended to help ensure the free
flow of information between the FBI and state and local law enforcement
officials.
To address our objectives we interviewed and obtained information from
officials from the Department of Justice (DOJ), the FBI, the National
Archives and Records Administration, and selected state and local law
enforcement organizations. We also reviewed executive orders, federal
regulations, FBI policies and procedures, and other relevant documents
governing the FBI's ability to grant security clearances and share
national security information. We also analyzed data obtained from the
FBI's state and local security clearance tracking databases collected
between September 2001 and December 2003. Additional information on our
scope and methodology is presented in appendix I.
We performed our work from July 2003 to March 2004 in Washington, D.C.,
in accordance with generally accepted government auditing standards. We
requested comments on a draft of this report from the Department of
Justice and the FBI.
Results in Brief:
The FBI's process for granting access to classified information
requires state and local law enforcement officials to undergo the same
background investigation and adjudication procedures as do individuals
who have an employment relationship with the federal government and
require access to classified national security information. Generally,
the process involves six steps. These steps consist of the (1) FBI
field office officials determining the applicant's need to know
classified national security information and the level of clearance
required, (2) applicant's submission of application materials to an FBI
field office, (3) applicant fingerprinting and interview conducted by
FBI field office officials, (4) FBI field officials' routing of
application to FBI headquarters and the FBI investigators' completion
of a background investigation, (5) FBI headquarters' adjudication of
applications based on federal government adjudication standards, and
(6) notification of adjudication to the FBI field office and the
applicant.
The FBI's goal is to complete the processing for secret security
clearances within 45 to 60 days and top secret security clearances
within 6 to 9 months, beginning with the FBI headquarters' receipt of
the application from the FBI field office. Since September 11, about 92
percent of applications for top secret security clearances were
processed within the FBI's time frame goals. During this same period,
about 26 percent of secret security clearance applications were
processed within the FBI's time frame goals, although substantial
improvements have been made in the most recent quarters for which we
have data. The FBI was more successful with processing top secret
security clearances within its stated time frame goals than secret
security clearances, in part because the FBI often assigns greater
priority to processing applications for state and local JTTF members,
who are required to have top secret clearances. For either secret or
top secret security clearance applications, processing timeframes can
vary depending on the complexity of individual cases.
The FBI has taken a number of steps to enhance its process for granting
security clearances to, and sharing information with, state and local
law enforcement officials. Since September 11, the FBI has met with
state and local law enforcement officials and representatives from law
enforcement professional organizations to (1) discuss information
sharing and related security requirements and (2) prioritize and
identify security clearance process impediments. One of the impediments
highlighted was the state and local officials' and the FBI field office
staff's lack of a clear understanding of the FBI's security clearance
granting process. In response to this impediment, the FBI headquarters
widely distributed step-by-step guidance to state and local law
enforcement officials and reeducated the FBI field staff on the FBI
security clearance process and goals. In addition, the FBI added staff
to its headquarters unit responsible for adjudicating state and local
security clearance applications and created databases to track state
and local security clearance applications. Efforts undertaken by the
FBI to enhance information sharing with state and local officials
include increasing the number of JTTFs from 35 to 84 and increasing
state and local law enforcement officials' participation on these
forces. Serving on JTTFs provides state and local law enforcement
officials the opportunity to interact with the FBI on a daily basis.
The FBI also circulates declassified intelligence through a weekly
bulletin and provides threat information to state and local law
enforcement officials via various database networks.
In commenting on a draft of this report, the Department of Justice and
the FBI generally concurred with our findings.
Background:
The FBI primarily grants security clearances to state and local law
enforcement officials who participate in FBI task forces and to state
and local chiefs of police and sheriffs.[Footnote 3] Since September
11, the FBI has expanded its JTTF initiative from 35 JTTFs to 84 JTTFs.
This increase in JTTFs created more opportunities for information
sharing and participation by state and local officials, thus increasing
the number of security clearance applications submitted to the FBI by
state and local officials. After September 11, an increasing number of
state and local officials who were not assigned to JTTFs began
requesting security clearances to obtain terrorism-related information
that might affect their jurisdictions. In some cases, state and local
officials assigned to JTTFs were not able to share classified
information with their state and local superiors because the superiors
lacked security clearances. In addition to forming the JTTFs, the FBI
launched the LEO initiative to focus on granting security clearances to
officials in an executive, decision-making role who were not posted to
a JTTF. According to the FBI, the launch of this initiative also
increased the number of state and local security clearance
applications.
Presidential Executive Order 12968, Access to Classified Information,
dated August 1995, established federal executive branch criteria for
granting access to classified information. As implemented by the FBI,
the primary criterion for granting access to classified information is
an individual's "need to know," which is defined as the determination
made by an authorized holder of classified information that a
prospective recipient requires access to specific classified
information in order to perform or assist in a lawful and authorized
governmental function.[Footnote 4] In addition to possessing a need to
know, individuals must have a security clearance based upon a favorable
adjudication of an appropriate background investigation, been briefed
on the responsibilities for protecting classified information, signed a
nondisclosure agreement acknowledging those responsibilities, and
agreed to abide by all appropriate security requirements.
An amendment to Presidential Executive Order 12958, Executive Order
13292, issued in 2003, also allows federal agencies, including the FBI,
to share classified information in an emergency with individuals who
lack a prior security clearance when necessary to respond to an
imminent threat to life or in defense of the homeland.[Footnote 5]
Prior to this executive order, during high-priority cases when there
was a threat to life, the FBI would provide pertinent information to
those with a need to know by granting them interim clearances.[Footnote
6]
Federal Government-Wide Policies Apply to State and Local Officials
Seeking FBI-Issued Security Clearances:
Federal government-wide policies, as implemented by the FBI, apply to
state and local officials seeking FBI-issued security clearances. The
security clearance process for state and local officials involves six
broad steps that consist of the (1) FBI field office officials'
determining the applicant's need to know classified national security
information and level of clearance required, (2) applicant's submission
of application materials to an FBI field office, (3) applicant
fingerprinting and interview conducted by FBI field office officials,
(4) FBI field officials' routing of application materials to FBI
headquarters and the FBI investigators' completion of a background
investigation, (5) FBI headquarters' adjudication of clearance
applications based on federal government adjudication standards, and
(6) notification of an adjudication.
General FBI Criteria for Granting Security Clearances Apply Equally to
FBI Employees and State and Local Officials:
The FBI's policies for granting access to classified information
requires state and local officials to undergo the same background
investigation and adjudication procedures as do individuals who have an
employment relationship with the FBI or other federal government
agencies and require access to classified national security
information. The FBI received its authority to grant security
clearances from the Department of Justice in 1993 (see fig. 1).
Presidential Executive Order 12968, Access to Classified Information,
dated August 1995, established federal executive branch criteria for
granting access to classified information. The FBI's Manual of
Investigative Operations and Guidelines outlines the bureau's policies
and procedures for investigating and adjudicating various categories of
security clearance cases, including FBI employees, contractors, and
state and local officials. The FBI cannot grant a security clearance to
any individual based simply on the individual's rank or position.
Police chiefs, for example, are not automatically granted security
clearances and must undergo the same procedures as all other
individuals.
Figure 1: Criteria for Granting Access to Classified Information:
[See PDF for image]
[End of figure]
State and local officials do not have a direct employment relationship
with the FBI, but sometimes they require access to FBI workspaces and
classified information. The procedures for conducting background
investigations and granting access to classified information are
identical to those for all FBI cases. For example, the FBI requires a
background investigation of the last 10 years of a person's life for
all individuals in need of a top secret security clearance. This also
applies to state and local officials.
Various FBI and Non-FBI Stakeholders Involved in Six-Step Security
Clearance Process:
Generally, state and local officials' contact with the FBI is primarily
through the local FBI field office, and field office management is
personally held accountable by FBI headquarters for all security
clearance applications processed through their offices. Nevertheless, a
number of stakeholders, including state and local officials themselves,
are involved in various parts of the application process which, as
figure 2 depicts, can be summarized in six steps.
Figure 2: FBI's Security Clearance Application Process for State and
Local Law Enforcement Officials:
[See PDF for image]
[End of figure]
Step 1: Determining Need:
To initiate the security clearance application process, state and local
officials first identify the individuals in their departments who
require access to classified information, taking into consideration
JTTF assignments, internal staffing needs, and FBI field office
guidance. Once individuals are identified, the FBI field office specify
the need to know for each individual, which in turn determines the
appropriate level of the security clearance: top secret or secret.
Step 2: Submission of Application Materials:
Next, FBI field officials distribute application materials to the
selected state and local officials. The instructions for completing the
application materials (see fig. 3) require the applicant to provide
information reaching back 10 years, and must include all previous
employment, residences, foreign travel and contacts, and references.
The applicant also signs a statement authorizing access to his or her
credit records.
Figure 3: Sample Pages from a Security Clearance Application:
[See PDF for image]
[End of figure]
Step 3: Applicant Interview:
Upon submission of the application materials, an FBI field office
official reviews the materials, conducts a face-to-face interview, and
fingerprints the applicant (see fig. 4). In addition, the FBI is moving
toward requiring all security clearance applicants to undergo a
polygraph examination to be completed during the security interview.
FBI field office officials summarize the information collected for
submission to the FBI headquarters.
Figure 4: Sample Fingerprint Card:
[See PDF for image]
[End of figure]
Step 4: Routing and Investigation:
According to FBI headquarters guidance, the FBI field office also must
compile a portion of the investigative information for submission to
FBI headquarters within 10 days of receipt of the application. However,
the FBI was not able to estimate the actual processing time for these
preliminary tasks. This procedure opens the investigation and
corresponds to the beginning of FBI headquarters' involvement in the
security clearance application process.
Following the opening of the case, FBI headquarters conducts
government-wide required security clearance National Agency Checks.
Such inquiries include checks of the National Crime Information
Center,[Footnote 7] fingerprint checks, and Office of Personnel
Management and Defense Clearance and Investigations Index
inquiries.[Footnote 8] FBI headquarters then refers the case to the
FBI's Background Investigation Contract Service (BICS) Unit. BICS
conducts background investigations for FBI security clearance
applications, including applications from state and local officials.
Typical background investigations include verification of citizenship,
credit, and criminal history checks. For a top secret security
clearance, the background investigation includes additional checks such
as the verification of education, employment, and residences within the
past 10 years. Interviews of friends, coworkers, supervisors, and
neighbors also are conducted. The background investigation may be
expanded if an applicant has resided abroad or has a history of mental
health disorders, drug or alcohol abuse.
Step 5: Adjudication:
Once all required background information has been submitted to FBI
headquarters, the adjudicator assigned to the case reviews the
information. In some cases, the adjudicator must request additional
leads to follow up on information uncovered in the investigation that
might increase the risk of granting the individual access to classified
information. To confirm or mitigate information collected, the
adjudicator may require a second interview with the applicant. For
example, if a negative credit history is uncovered, the applicant may
be asked how he or she is attempting to remedy that situation.
The adjudicator summarizes this information in a report, which includes
a recommendation as to whether to grant a security clearance based on
13 federal government-wide adjudicative standards. These standards
include an assessment of the applicant's allegiance to the United
States, personal conduct, mental health, and associations with
undesirable persons or foreign nationals, among other things.[Footnote
9] A supervisory official reviews this recommendation and grants final
approval. In cases where a denial of clearance is recommended, the
adjudicator's unit chief also must review the report.[Footnote 10]
Step 6: Notification and Activation:
According to the FBI, the same day the adjudication is made regarding
whether to grant access to classified information, the FBI field office
is notified. In cases of a favorable decision, according to FBI
policies, the FBI field office then has 10 days to set up a security
briefing with the applicant. The security clearance does not take
effect until the security briefing has been completed and the applicant
has signed a non-disclosure agreement. Documentation of the interview
and the signed agreement are sent to FBI headquarters to record that
the clearance has taken effect.
The FBI Processed the Majority of Top Secret Security Clearances within
its Time Frame Goals; Secret Security Clearances Generally Missed the
Time Frame Goals, but Improvements Have Been Made:
The FBI's goal for processing top secret security clearance
applications is 6 to 9 months, and its goal for processing secret
security clearance applications is 45 to 60 days, though actual
completion times can vary from case to case. The majority of the
applications the FBI received for top secret security clearances since
September 11, were processed within the FBI's stated time frame goals.
In contrast, the majority of secret applications received since
September 11, were not processed within the FBI's time frame goals.
However, during the last half of 2003 the FBI nearly doubled its
success rate for completing secret security clearance applications
within its time frame goals.
The FBI Processed the Majority of Top Secret Applications from State
and Local Officials within its Time Frame Goals:
The FBI's goal is to process top secret security clearance applications
in 6 to 9 months, though actual completion times can vary from case to
case. The FBI has received 1,211 applications for top secret security
clearances since September 11, 2001. Of the top secret applications
received, about 835 were granted and 276 were pending at the time our
review. The FBI denied clearances to 7 applicants.[Footnote 11]
The FBI often assigns greater priority to processing applications for
state and local JTTF members, who are required to have top secret
clearances. Consequently, as figure 5 shows, about 92 percent of the
835 applications for top secret security clearances granted were
processed within the FBI's time frame goal of 6 to 9 months since
September 11. Of the 276 top secret security clearance applications
that were still pending completion at the time of our review, over 90
percent were processed within the FBI's time frame goal of 6 to 9
months.
Figure 5: Granted Top Secret Security Clearance Processing Time Frames
from September 11, 2001, to December 8, 2003:
[See PDF for image]
Note: The processing time frame for one application was not available.
[End of figure]
As noted earlier, the FBI's average actual time frame for processing
top secret security clearances for state and local officials has
declined since September 11. As shown in figure 6, the average number
of days for completing a top secret security clearance application
declined from 244 days in the last quarter of 2001 to 70 days in the
third quarter of 2003.[Footnote 12]
Figure 6: Average Number of Days for Completion of Top Secret Security
Clearance Applications:
[See PDF for image]
Note: Data GAO collected for the fourth quarter of 2003 end on December
8, 2003.
[End of figure]
The FBI Generally Fell Short of Its Time Frame Goals for Processing
Secret Security Clearances, but It Has Improved Its Processing Times in
the Last Six Months:
The FBI's time frame goal for granting secret security clearances is 45
to 60 days, though actual completion times can vary from case to case.
The FBI received 2,363 applications for secret security clearances from
state and local officials since September 11. Of the secret security
clearance applications received, 2,021 had been granted and 267 were
pending at the time of our review.[Footnote 13] The FBI did not deny
any secret security clearance applications.
The FBI processed about 26 percent of secret applications within its
time frame goals, as shown in figure 7. The remainder, about 72
percent, were granted in more than 60 days.[Footnote 14]
Figure 7: Granted Secret Security Clearance Processing Time Frames from
September 11, 2001, to December 8, 2003:
[See PDF for image]
Note: Totals do not equal 100 because the processing time frames for 15
applications were not available.
[End of figure]
An analysis of the last 6 months of data collected during our review
shows that the FBI has begun to process secret applications more
quickly. The FBI received about 483 secret security clearance
applications between June 2003 and December 2003. About 46 percent of
those applications were processed within the FBI's time frame goals
(see fig. 8), nearly doubling the success rate for completing secret
security clearance applications within the designated time frame goals.
Figure 8: Secret Security Clearance Processing Time Frames Comparing
the Period June 2003 to December 2003 with the Preceding Months:
[See PDF for image]
Note: This includes all secret applications that were opened during
these time frames, including those that were pending completion.
[End of figure]
The FBI has also improved its overall actual completion time frames for
secret security clearance applications since the second quarter of
2003, as shown in figure 9. The average number of days for processing a
secret security clearance application was about 90 in the last quarter
of 2001. By the fourth quarter of 2002, the average number of days for
processing a secret security clearance application had risen to about
115, and in the third quarter of 2003, the average number of days
declined to about 60.[Footnote 15]
Figure 9: Average Number of Days for Completion of Secret Security
Clearance Applications:
[See PDF for image]
Note: Data GAO collected for the fourth quarter of 2003 end on December
8, 2003.
[End of figure]
Various Factors Could Affect the FBI's Processing Time Frames:
FBI officials stated that the bureau's time frame goals are approximate
averages and actual completion times can vary depending on a number of
factors. For example, numerous past residences or foreign travel can
extend the time it takes to conduct a background investigation. In
addition, background investigations can take additional time when
information from the applicant's application does not match the
information collected during investigation interviews. FBI guidance to
state and local officials states that the processing time for each
application will vary depending on its complexity. Also, according to a
DOJ official, the number of applications in the FBI's queue, as well as
the FBI's staffing resources, affect the time needed to process a
security clearance application. According to FBI officials, the volume
of security clearance applications increased substantially after
September 11.
Although the FBI's security clearance process begins when a need for a
clearance is determined, as shown in figure 2, the FBI does not begin
to track the processing of security clearance applications until after
the FBI field office completes its preliminary tasks and forwards the
application package to FBI headquarters. These preliminary tasks can
include checks with the internal affairs unit of the department where
the official is employed, administering a polygraph examination, and
verifying citizenship with the U.S. Citizenship and Immigration
Services. The official must also undergo a face-to-face personnel
security interview. Though guidance to FBI field offices requires that
these tasks be performed and the application forwarded to headquarters
within 10 days of receipt of the security clearance application, the
FBI was not able to estimate the actual processing time for these
preliminary tasks. According to the FBI, the time required to perform
the initial steps of the process varies by field office and is
dependent on the unique circumstance of each candidate. For example,
state and local officials who are located in a law enforcement agency
that is distant from the FBI field office may require additional time
to schedule tasks that take place at the field office. According to FBI
officials, the time frames for completion of these preliminary tasks
may also depend on the laws, regulations, policies, and union
agreements that may affect the local police agency.
The FBI and State and Local Officials Have Identified Process
Impediments and the FBI Has Taken Steps to Enhance the Security
Clearance Process and Information Sharing:
The FBI has undertaken various steps to enhance its process for
granting security clearances to state and local officials and to
facilitate information sharing with state and local law enforcement
agencies. Since September 11, the FBI has consulted with state and
local officials to collect their views and recommendations regarding
information sharing and improving the security clearance process. The
FBI identified state and local officials' unfamiliarity with the
requirements for processing security clearance applications as one of
the main impediments to timely processing of applications. To improve
understanding of its policies for granting security clearances, the FBI
published an informational brochure for state and local officials and
continued to meet with state and local law enforcement organizations.
The FBI also developed policy guidance and a checklist of procedures
for FBI field office officials, added staff to the headquarters unit
responsible for processing state and local security clearance
applications, and developed database resources at headquarters to track
applications. To promote information sharing between the FBI and state
and local law enforcement agencies, in 2002 and 2003, the FBI increased
the number of JTTFs and encouraged state and local officials to
participate in this and other information-sharing initiatives. In
addition, the FBI distributed terrorism-related bulletins to state and
local agencies and has made terrorist threat-related information
available via various FBI electronic networks.
State and Local Officials and the FBI Have Consulted to Identify Ways
to Improve the Security Clearance and Information Sharing Processes:
In response to an increased interest in information sharing between the
FBI and state and local law enforcement agencies following the
terrorist attacks of September 11, high-level FBI officials met with
state and local law enforcement leaders to discuss ways to prevent or
respond to terrorist attacks. These discussions included ways to
improve information sharing between the FBI and state and local law
enforcement agencies, as well as the FBI's requirements and process for
granting security clearances. According to FBI officials,
representatives of major state and local law enforcement groups
continue to meet periodically with the FBI Director and other FBI
officials.[Footnote 16]
In addition, the FBI created the Office of Law Enforcement Coordination
(OLEC), which is headed by a former city police chief, to address state
and local officials' concerns. OLEC's general responsibilities include
serving as the FBI's primary liaison to national law enforcement
associations and communicating the perspectives of state and local law
enforcement agencies to the FBI. In addition to participating in state
and local law enforcement organizations' meetings with the FBI
Director, OLEC staff regularly attend conferences of state and local
law enforcement organizations and respond to inquiries from state and
local officials.
In addition to the FBI's direct consultation with state and local
officials, after September 11, some state and local law enforcement
organizations expressed their members' concerns regarding information
sharing with the FBI and the FBI's security clearance application
process. These organizations shared their members' views with the FBI
via white papers,[Footnote 17] and through meetings and conversations
with FBI officials, including OLEC representatives. Officials from the
FBI's Security Division, which houses the units responsible for
processing security clearance applications and granting access, also
participated in many of these activities.
FBI Field Office Officials and State and Local Officials Initially
Lacked Understanding of the Security Clearance Application Process and
Expressed Other Concerns:
According to FBI and state and local officials, initially following
September 11, there was little understanding of, and some confusion
regarding the security clearance process among both FBI field office
and state and local officials. According to an FBI official, some FBI
field office and state and local officials lacked guidance for
identifying individuals in need of security clearances. According to an
FBI official, some police chiefs or officers equated receiving a
security clearance with status or importance, or believed they should
be granted a clearance based solely on their status. According to an
FBI official, failure to understand or follow FBI guidelines for
identifying individuals in need of a security clearance initially
resulted in an unnecessary increase in the number of applications
submitted. For example, one FBI official stated that a police agency
had asked for security clearances for most of its officers, rather than
for the one or two officials who needed a clearance.
In addition, according to representatives of some law enforcement
professional organizations, some state and local officials said they
did not have adequate guidance for filling out and submitting the
appropriate application forms. According to FBI officials, in some
cases, state and local officials were reluctant or refused to provide
the information required to conduct the background investigation. For
example, police chiefs sometimes omitted negative information because
they feared it might affect their standing in the community (e.g., past
drug use or poor credit). If an incomplete application was submitted,
it had to be sent back to the individual for completion, extending the
time required to investigate and process an application. State and
local officials expressed discontent with the time frames for
processing a security clearance application, as well as dissatisfaction
with their inability to check the status of their security clearance
applications.
FBI Outreach to State and Local Officials Helped Clarify Security
Clearance Requirements and Time Frames:
With the assistance of the newly created OLEC, in November 2002, the
FBI distributed an informational brochure to state and local law
enforcement agencies to help improve these officials' understanding of
the FBI's security clearance requirements and process. The FBI also
made this brochure available on its Web site. According to FBI
guidance, this brochure, shown in figure 10, is included in the packet
of application materials given to state and local security clearance
applicants.
Figure 10: FBI Security Clearance Brochure:
[See PDF for image]
[End of figure]
In addition to distributing this brochure, FBI officials have attended
conferences and meetings of national law enforcement organizations.
OLEC officials have fielded requests for information, as well as
complaints, from state and local officials. For example, state and
local officials who wanted to know the status of their applications
sometimes contacted OLEC officials. FBI officials acknowledged that it
is extremely difficult to give status updates when a background
investigation is under way; the FBI can tell an applicant simply
whether the investigation is complete or is still being processed. This
may not always satisfy the interests of state and local officials
requesting updates on the status of the application.
Representatives of some law enforcement professional organizations we
interviewed stated that the FBI's guidance and consultation with these
organizations has helped improve state and local officials'
understanding of the security clearance application process. An OLEC
official also said these efforts had reduced the number of calls it
received from state and local officials.
FBI Headquarters Provided a Checklist of Procedures for Processing
Clearances, Added Staff, and Developed A Database Tool to Enhance
Efficiency:
To clarify FBI field office officials' role in processing state and
local security clearance applications, FBI headquarters developed
policy guidance and a checklist of procedures for FBI field office
officials. In an electronic communication sent in December 2002, FBI
headquarters spelled out the necessary justification for granting
security clearances to state and local officials and laid out
processing procedures for various FBI officials. In addition, according
to FBI officials, the FBI holds quarterly conference calls with FBI
field office security officials to address any issues with the security
clearance process.
FBI officials cited staffing shortages as an impediment to the security
clearance process. According to an FBI official, the unit responsible
for state and local law enforcement security clearances initially was
understaffed, despite experiencing an increase in workload after
September 11. To address staffing needs, the FBI created a new unit
within its Security Division Personnel Security Section specifically to
handle state and local law enforcement security clearance applications.
The FBI also requested increased funding for the division responsible
for processing security clearances. FBI officials stated that
additional staff had been added to this unit, and caseloads presently
are not as heavy as in the period immediately following September 11.
Following September 11, and the subsequent increase in state and local
security clearance applications submitted to the FBI, the FBI Security
Division designed databases to track the submission of applications and
application completion dates, among other things. FBI officials said
the databases have served as management tools for tracking state and
local security clearance applications and monitoring application trends
and percentages. These databases are to be integrated into an FBI-wide
security clearance tracking database currently under development and
set for rollout in the latter part of fiscal year 2004.
The FBI Established New Terrorism-Related Task Forces and Invited State
and Local Officials to Participate:
The FBI credits its JTTFs with enhancing its ability to coordinate its
counterterrorism efforts with state and local law enforcement agencies,
as well as with other government organizations. Since 1996, the FBI has
continued to increase the number of JTTFs in operation across the
country. By the end of fiscal year 2001, 35 JTTFs were in operation at
FBI field office locations. In response to the terrorist attacks of
September 11, and with additional congressional support, the FBI
expanded this number to 66 by the end of fiscal year 2002, and to 84
JTTFs by the end of 2003. According to an FBI report on the JTTF
program, the FBI anticipates that the number of JTTFs will increase in
coming years, depending on the availability of funding. According to
one FBI official, the FBI received 30 requests for additional JTTF
annexes in fiscal year 2003 and was able to grant 18 of these.
As of fiscal year 2003, more than 800 state and local officials served
full-time on these forces, along with FBI and other federal government
officials. The FBI encourages state and local officials in cities with
established or newly created JTTFs to join these forces. FBI field
office executives work with their state and local law enforcement
counterparts to make JTTF assignments according to staff and other
resource availability.
In addition, the FBI also established the National Joint Terrorism Task
Force (National JTTF) in July 2002, to coordinate the FBI's local
JTTFs. In addition to federal agency officials, state and local
officials also serve on the National JTTF, which plans to establish a
fellowship program for state and local law enforcement officers.
The FBI Utilizes Bulletins and Information Networks to Share
Information with State and Local Officials:
In addition to the JTTFs and the LEO initiative, which was created to
provide classified information to state and local officials, the FBI
utilizes several means of disseminating terrorism-related information
to agencies and individuals outside the FBI, including state and local
officials. On a weekly basis, the FBI distributes Intelligence
Bulletins, which are tailored specifically for state and local
officials. According to a DOJ inspector general's report, the intent of
sending these bulletins is to raise general awareness of terrorism-
related issues, though some information may help state and local
officials detect or uncover criminal activity related to international
terrorism. The FBI also distributes Quarterly Terrorist Threat
Assessments to state and local officials. These reports provide a
general overview of the terrorist threat and provide summaries of
events in different regions in the world that might have an impact on
this threat.
In addition to distributing these bulletins, the FBI grants state and
local officials access to various unclassified networks and databases.
State and local officials generally make use of the Law Enforcement
Online database and network, as well as the National Law Enforcement
Telecommunications System, over which the FBI sends e-mail messages.
The FBI also posts names from its Terrorist Watch List on the National
Crime Information Center database and state and local law enforcement
personnel can access the National Instant Criminal Background Check
System. Other efforts, though less widespread, include regular meetings
of some FBI field office supervisory agents in charge with state and
local officials to discuss terrorism-related investigations taking
place in their jurisdictions.
Agency Comments and Our Evaluation:
The Department of Justice and the FBI provided comments on a draft of
this report. The Department of Justice and the FBI generally concurred
with our findings, and the FBI provided technical comments, which were
incorporated as appropriate.
We are providing copies of this report to the Ranking Minority Member
of the Senate Judiciary Subcommittee on Administrative Oversight and
the Courts. We will also make copies available to others on request. In
addition, the report will be made available at no charge on GAO's Web
site at http:/www.gao.gov.
If you or your staff have any questions, please contact me at (202)
512-8777 or by e-mail at ekstrandl@gao.gov or Charles Michael Johnson,
Assistant Director, at (202) 512-7331. Other key contributors to this
report are Todd M. Anderson, Leo Barbour, Nettie Richards, and Jerry
Sandau.
Sincerely yours,
Laurie E. Ekstrand:
Director, Homeland Security and Justice Issues:
[End of section]
Appendix I: Scope and Methodology:
To describe the FBI's processes for granting security clearances to
state and local officials, we reviewed presidential executive orders,
Security Council guidelines, and the Code of Federal Regulations for
federal government-wide criteria for granting access to classified
national security information (NSI). We reviewed Department of Justice
(DOJ) guidance delegating the authority to grant access to classified
NSI to the FBI. We also reviewed copies of the relevant sections of the
FBI's Manual of Investigative Operations and Guidelines, as well as
copies of guidance sent to FBI field office officials. We reviewed a
copy of the brochure the FBI distributed to state and local law
enforcement organizations and agencies. We also interviewed officials
from DOJ, Justice Management Division. For background on classified
information and granting access, we interviewed the Director of the
Information Security Oversight Office at the National Archives and
Records Administration, as well as staff from our Security and Safety
office. We gathered additional information from interviews with
officials from the FBI's Security Division Personnel Security Section,
which oversees the unit responsible for granting security clearances to
state and local officials.
To determine the extent to which the FBI is meeting its timeliness
goals for processing security clearances for state and local officials,
we analyzed data from the FBI Security Division's state and local law
enforcement security clearance databases collected between September
2001 and December 2003. These data generally included case numbers,
beginning and ending dates of background investigations, adjudication
resolution, and level of clearance granted, among other things. We
determined that the data were suitable and sufficiently accurate for
the purpose of our review. We obtained additional context for
understanding the FBI's data through interviews with FBI Security
Division officials.
To describe the efforts undertaken by the FBI to enhance its state and
local law enforcement security clearance and information-sharing
processes, we reviewed a variety of reports and studies, including
literature published by state and local law enforcement organizations.
We also interviewed representatives of state and local law enforcement
organizations, including the International Association of Chiefs of
Police (IACP), Major Cities Chiefs Association, Police Executive
Research Forum, National Association of Chiefs of Police, and the
National Sheriffs Association. We also attended an IACP annual
conference panel session on the FBI's information-sharing initiatives.
We conducted interviews with FBI Security Division officials, as well
as a representative of FBI's Office of Law Enforcement Coordination. We
also obtained and reviewed planning, organization, budget, and staffing
documentation from the FBI.
We performed our work from July 2003 to March 2004 in Washington, D.C.,
in accordance with generally accepted government auditing standards. We
requested comments on a draft of this report from the Department of
Justice and the FBI.
FOOTNOTES
[1] Confidential is applied to information, the unauthorized disclosure
of which reasonably could be expected to cause damage to the national
security. Secret is applied to information, the unauthorized disclosure
of which could cause serious damage to national security. Executive
Order 13292, Further Amendment to Executive Order 12958, as Amended,
Classified National Security Information, sec. 1.2, Mar. 28, 2003.
[2] Top secret is applied to information, the unauthorized disclosure
of which could cause exceptionally grave damage to national security.
Executive Order 13292, Further Amendment to Executive Order 12958, as
Amended, Classified National Security Information, sec. 1.2, Mar. 28,
2003.
[3] State and local law enforcement officials will be referred to as
"state and local officials" throughout the remainder of this report.
[4] Executive Order 12968, Access to Classified Information, Section
1.1(h).
[5] Executive Order 13292, Section 4.2(b).
[6] According to Executive Order 12968, Section 3.3, temporary
eligibility for access to classified information can be granted to an
individual while the initial investigation is under way. When an
interim clearance is granted, the initial investigation is expedited.
Granting access under this provision requires a justification, and the
individual must be notified in writing that further access is expressly
conditioned on the favorable completion of the investigation and
issuance of an access eligibility approval. Access is terminated
immediately, along with the assignment requiring eligibility approval,
if final approval is not granted.
[7] The National Crime Information Center is a nationwide information
system that contains, among other things, information on fugitives,
wanted persons, convicted persons, and persons under probation or
parole supervision.
[8] The Defense Clearance and Investigations Index maintains data on
active duty personnel, reservists, and Department of Defense civilians
and contractors who have been involved in a security clearance
investigation or adjudication.
[9] Adjudicative Guidelines for Determining Eligibility to Classified
Information was issued as a part of the Security Policy Board
Implementation of Executive Order 12968 (March 1997).
[10] FBI officials informed us that state and local law enforcement
officials may appeal the denial of a security clearance based on
procedures outlined in Executive Order 12968, Section 5.2, but that
none had appealed as of the date of our review.
[11] Eighty-seven applications were discontinued. Reasons for
discontinuation can include situations in which the candidate was
replaced with another candidate or the candidate no longer had a need
to know classified information. Four applications were returned to the
FBI field office because of missing information. One application was
closed administratively because of the candidate's withdrawal or
failure to sign a nondisclosure form, among other things.
[12] Because data for the fourth quarter of 2003 are not complete, we
use comparisons based on the third quarter of 2003.
[13] Seventy-three applications were discontinued. Reasons for
discontinuation can include situations in which the candidate was
replaced with another candidate or the candidate no longer possessed a
need to know classified information. One application was returned to
the FBI field office because of missing information. One application
was closed administratively because of the candidate's withdrawal or
failure to sign a nondisclosure form, among other things.
[14] Of the secret security clearance applications that were pending
completion at the time of our review, about 61 percent had already
missed the FBI's time frame goals.
[15] Because the data for the fourth quarter of 2003 are not complete,
we use comparisons based on the third quarter of 2003.
[16] For example, the International Association of Chiefs of Police,
the National Sheriffs Association, the Police Executive Research Forum,
and the Major Cities Chiefs of Police Association have met with FBI
officials.
[17] These include "Protecting Your Community from Terrorism:
Strategies for Local Law Enforcement, volume 1: Local-Federal
Partnerships," Police Executive Research Forum, March 2003; and
"Terrorism: The Impact on State and Local Law Enforcement," Major
Cities Chiefs Association Intelligence Commanders Conference Report,
June 2002.
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