[Senate Report 116-286]
[From the U.S. Government Publishing Office]
Calendar No. 578
116th Congress} { Report
SENATE
2d Session } { 116-286
======================================================================
UNIFYING DHS INTELLIGENCE
ENTERPRISE ACT
__________
R E P O R T
OF THE
COMMITTEE ON HOMELAND SECURITY AND
GOVERNMENTAL AFFAIRS
UNITED STATES SENATE
TO ACCOMPANY
H.R. 2589
TO AMEND THE HOMELAND SECURITY ACT OF 2002 TO
ESTABLISH A HOMELAND INTELLIGENCE DOCTRINE FOR THE
DEPARTMENT OF HOMELAND SECURITY, AND FOR OTHER PURPOSES
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
November 9, 2020.--Ordered to be printed
__________
U.S. GOVERNMENT PUBLISHING OFFICE
WASHINGTON : 2020
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COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
RON JOHNSON, Wisconsin, Chairman
ROB PORTMAN, Ohio GARY C. PETERS, Michigan
RAND PAUL, Kentucky THOMAS R. CARPER, Delaware
JAMES LANKFORD, Oklahoma MAGGIE HASSAN, New Hampshire
MITT ROMNEY, Utah KAMALA D. HARRIS, California
RICK SCOTT, Florida KYRSTEN SINEMA, Arizona
MICHAEL B. ENZI, Wyoming JACKY ROSEN, Nevada
JOSH HAWLEY, Missouri
Gabrielle D'Adamo Singer, Staff Director
Joseph C. Folio III, Chief Counsel
Margaret E. Frankel, Research Assistant
Nicholas O. Ramirez, Minority U.S. Coast Guard Detailee
David M. Weinberg, Minority Staff Director
Zachary I. Schram, Minority Chief Counsel
Jeffrey D. Rothblum, Minority Senior Professional Staff Member
Laura W. Kilbride, Chief Clerk
Calendar No. 578
116th Congress} { Report
SENATE
2d Session } { 116-286
======================================================================
UNIFYING DHS INTELLIGENCE ENTERPRISE ACT
_______
November 9, 2020.--Ordered to be printed
_______
Mr. Johnson, from the Committee on Homeland Security and Governmental
Affairs, submitted the following
R E P O R T
[To accompany H.R. 2589]
[Including cost estimate of the Congressional Budget Office]
The Committee on Homeland Security and Governmental
Affairs, to which was referred the bill (H. R. 2589) to amend
the Homeland Security Act of 2002 to establish a homeland
intelligence doctrine for the Department of Homeland Security,
and for other purposes, reports favorably thereon with an
amendment in the nature of a substitute and recommends that the
bill, as amended, do pass.
CONTENTS
Page
I. Purpose and Summary..............................................1
II. Background and Need for the Legislation..........................2
III. Legislative History..............................................4
IV. Section-by-Section Analysis......................................4
V. Evaluation of Regulatory Impact..................................6
VI. Congressional Budget Office Cost Estimate........................6
VII. Changes in Existing Law Made by the Act, as Reported.............7
I. Purpose and Summary
H.R. 2589, the Unifying DHS Intelligence Components Act (as
the title was amended to read in Committee), directs the
Secretary of the Department of Homeland Security (DHS or the
Department) to develop and disseminate a written Department-
wide intelligence doctrine for its intelligence components. In
addition, the Secretary is required to develop policies,
standards, and programs for the intelligence components of the
Department for training relating to, among other things, the
collection, processing and analysis of intelligence-related
information, and coordinate the intelligence and intelligence-
related education of personnel for intelligence components. The
Secretary is also required to develop policies for gathering
lessons learned relating to intelligence, intelligence-related
information, and terrorism information and use the lessons
learned for further development of the intelligence doctrine.
The Department's intelligence doctrine must include defined
processes for sharing intelligence information with state,
local, tribal and territorial governments (SLTTs), the private
sector, and foreign governments in a matter that complies with
all privacy, civil rights and civil liberties regulations.
Beginning one year following the enactment of this Act, and
annually for four years, the Secretary is required to conduct
an annual review of the intelligence doctrine, and as necessary
revise the doctrine.
The U.S. Government Accountability Office (GAO) is required
to conduct a review, within one year of the enactment, of the
Department's implementation of the Act and submit the results
of this review to Congress. GAO's review is to include, among
other things, details on the extent of intelligence doctrine
adoption across the Department and evaluate if the newly
implemented standards protect civil rights, civil liberties and
privacy requirements. In addition, GAO is required to report on
the variation between the standards prior to the enactment of
the Act, and the standards in effect following the issuance of
intelligence doctrine.
II. Background and the Need for Legislation
Following the aftermath of the September 11, 2001,
terrorist attacks, Congress established DHS as a means of
unifying the nation's homeland security efforts.\1\ The
creation of DHS from 22 distinct Executive Branch agencies was
the most significant reorganization of the Federal Government
since the Cold War.\2\ By consolidating these agencies into a
single department, Congress and the administration intended to
break down existing stovepipes and barriers to information
sharing, thereby enhancing the nation's ability to mitigate,
prepare for, and respond to potential terrorist threats.\3\
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\1\Homeland Security Act of 2002, Pub. L. No. 107-296, 107th Cong.
(2002); The President of the United States, The Department of Homeland
Security (June 2002), available at https://www.dhs.gov/xlibrary/assets/
book.pdf.
\2\Id.
\3\The President of the United States, The Department of Homeland
Security (June 2002), available at https://www.dhs.gov/xlibrary/assets/
book.pdf; Mission, Department of Homeland Security (Jul. 3, 2019),
https://www.dhs.gov/mission.
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Protecting the homeland against threats of terrorism
requires a coordinated and robust homeland intelligence
enterprise. Since the Department's inception, DHS has made a
number of changes in an effort to do so, including establishing
the Office of Intelligence and Analysis (I&A) and designating
the role of Assistant Secretary (now the Under Secretary) for
Information Analysis to serve as the Chief Intelligence
Officer.\4\ With the passage of the 9/11 Commission Act of
2007, I&A was given the responsibility of handling
intelligence-related matters, to include evaluating
information-sharing practices within the Department.\5\
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\4\Id.; 6 U.S.C. Sec. 121(b).
\5\Implementing Recommendations of the 9/11 Commission Act of 2007,
Pub. L. No. 110-53, 110th Cong. (2007), codified at 6 U.S.C. Sec. 121.
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In 2016, the majority staff for the House Committee on
Homeland Security issued a report titled ``Reviewing the
Department of Homeland Security's Intelligence Enterprise,''
that evaluated the current status of DHS intelligence programs
and provided recommendations for DHS to streamline their
intelligence operations and unify efforts to facilitate the
Department's mission.\6\ Many of the recommendations form the
basis for this legislation, specifically with regard to those
calling for better coordination among components and the
establishment of clear standards for handling intelligence
information.\7\
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\6\House Committee on Homeland Security, Majority Staff Report,
Reviewing the Department of Homeland Security's Intelligence
Enterprise, 105th Cong. (2016), available at https://www.hsdl.org/
?view&did=797351 [hereinafter, ``House Committee on Homeland Security
Majority Staff Report''].
\7\Id.
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Currently, I&A and the U.S. Coast Guard are the only
members of the intelligence community within the Department.\8\
Other components of the Department lack the same standards for
the handling of intelligence.\9\ Due to the lack of
standardization among the intelligence components of the
Department, the report recommended that the DHS Chief
Intelligence Officer ``standardize raw intelligence reporting
formats throughout the Department and create a system of record
for dissemination, discoverable by all personnel with a need-
to-know, even for products contain information that throes not
meet the standard for national intelligence reporting.''\10\
Standardizing methods to share intelligence and intelligence-
related information among relevant components helps prevent
stove piping of intelligence information, a problem identified
by the 9/11 Commission.\11\
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\8\Members of the IC, Office of the Director of National
Intelligence, https://www.dni.gov/index.php/what-we-do/members-of-the-
ic.
\9\House Committee on Homeland Security Majority Staff Report,
supra note 6; see also Congressional Research Service, The Department
of Homeland Security Intelligence Enterprise: Operational Overview and
Oversight Challenges for Congress (2010), available at https://fas.org/
sgp/crs/homesec/R40602.pdf.
\10\House Committee on Homeland Security Majority Staff Report,
supra note 6.
\11\National Commission on Terrorist Attacks Upon the United
States, The 9/11 Commission Report--Final Report of the National
Commission on Terrorist Attacks Upon the United States--Executive
Summary (2004), available at https://govinfo.library.unt.edu/911/
report/911Report_Exec.pdf.
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Another recommendation outlined in the report called for
the Chief Intelligence Officer to ``standardize all DHS
[intelligence enterprise] analytical product formats where
practicable.''\12\ Specifically, the report found that there
were 56 various finished intelligence product formats due to
the lack of standardized protocols across the Department.\13\
In April 2016, the Chief Intelligence Officer established a
centralized repository for finished intelligence products.\14\
However, due to inconsistencies in the product format
requirements, analysts tasked with formatting the intelligence
products said the act of putting the products together drained
resources and confused users based on the differing formats and
scopes.\15\ H.R. 2589 would establish required guidance on
processing, analysis, production and dissemination, thereby
helping to streamline the product processes, improve resource
allocation, and reduce confusion.
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\12\House Committee on Homeland Security Majority Staff Report,
supra note 6.
\13\Id.
\14\Id. at 32.
\15\Id.
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A former Chief Intelligence Officer identified confusion
within the Department ``as to who has the responsibility and/or
ability to compel information sharing, owing to the lack of a
Departmental intelligence doctrine,''\16\ which further
enforces the need for establishing the Homeland Intelligence
Doctrine as called for in this Act. The report specifically
cites an instance in which an intelligence component of the
Department created a definition of ``intelligence,'' different
from what is established in DHS policy.\17\ Without set
standards and interpretations of definitions, intelligence
components of the Department lack unity and accountability when
handling intelligence.
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\16\Id. at 35.
\17\Id.
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The report includes several additional recommendations that
call for the standardization of guidance on intelligence
analysis, production and sharing.\18\ The report highlights the
need for ``[normalized]'' intelligence-sharing and coordination
procedures as it relates to Federal, SLTT, foreign and private
sector partners.\19\ This Act would require DHS to develop
guidance on intelligence dissemination to its aforementioned
non-DHS partners.
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\18\House Committee on Homeland Security Majority Staff Report,
supra note 6.
\19\Id.
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To address these problems, H.R. 2589 establishes a Homeland
Intelligence Doctrine within the DHS to standardize the
development, dissemination, and analysis of intelligence-
related information across the intelligence components of the
Department. Implementation of the Homeland Intelligence
Doctrine will be reviewed by GAO. This report will provide
Congress and DHS with information on whether the establishment
of the Homeland Intelligence Doctrine has had the desired
outcome of improving the Department's ability to unify its
intelligence-related activities amongst its intelligence
components.
III. Legislative History
Representative Mark Green (R-TN-7) introduced H.R. 2589,
the Unifying DHS Intelligence Enterprise Act of 2019, in the
House of Representatives on May 8, 2019. The House of
Representatives passed the Act, as amended, under suspension of
the rules by voice vote on September 26, 2019. The Act was
referred to the Senate Committee on Homeland Security and
Governmental Affairs.
The Committee considered H.R. 2589 at a business meeting on
March 11, 2020. Chairman Ron Johnson and Ranking Member Gary
Peters offered a substitute amendment, which incorporated minor
technical edits and changed the short title from ``Unifying DHS
Intelligence Enterprise Act'' to ``Unifying DHS Intelligence
Components Act.'' Both the amendment and legislation as
modified were passed by voice vote en bloc with Senators
Johnson, Portman, Lankford, Romney, Scott, Enzi, Hawley,
Peters, Carper, Hassan, Harris, Sinema and Rosen present.
Consistent with Committee rules, the Committee reports the bill
with a technical amendment by mutual agreement of the Chairman
and Ranking Member.
IV. Section-by-Section Analysis of the Bill, as Reported
Section 1. Short title
This section establishes the Short Title of the Act as the
``Unifying DHS Intelligence Components Act.''
Section 2. Homeland Intelligence Doctrine
Subsection (a) amends Subtitle A of title II of the
Homeland Security Act of 2002 (6 U.S.C. 121 et seq.) to add a
new section 210H, Homeland Intelligence Doctrine.
New subsection (a) defines the terms ``intelligence,''
``intelligence information'' and ``terrorism information.''
New subsection (b) requires that within 180 days of
enactment, the Secretary of Homeland Security establish and
distribute a written intelligence doctrine for the intelligence
components of the Department. The Secretary is also required to
develop policies, standards and programs for training,
coordination and developing lessons learned related to
intelligence, intelligence-related information, and terrorism
information. The lessons learned are to be distributed to the
Department's intelligence components, and used to inform
further development of the intelligence doctrine.
New subsection (c) establishes the contents of the
intelligence doctrine, which should include a description of
the fundamental principles guiding the collection, processing,
analysis, and dissemination of intelligence information by, and
oversight activities for, the intelligence components of the
Department. This subsection also requires the intelligence
doctrine to include information on how it can be used to
develop Department-wide training and education, including best
practices. The intelligence doctrine must also include guidance
on the dissemination and sharing of intelligence and
intelligence-related information between Federal, SLTT, and
foreign government partners, as well as with the private
sector. In addition, the intelligence doctrine's policies,
standards and programs must include the protection of privacy,
civil rights, and civil liberties and must also include any
mission statements, strategic or planning documents and all
other related documents relevant to the guidance.
New subsection (d) requires the intelligence doctrine,
policies, standards and programs to be disseminated in an
unclassified form, with a classified annex if necessary.
New subsection (e) requires the Secretary of Homeland
Security, one year of enactment of this Act and annually for
four years thereafter, to review the intelligence doctrine,
policies, standards, and programs and make any necessary
revisions. After the required review period, the Secretary of
Homeland Security is required to conduct reviews of the
intelligence doctrine on an ad hoc basis and make any necessary
revisions. Subsection (e) also contains a clerical amendment,
amending section 1(b) of the Homeland Security Act of 2002
(Public Law 107-296) to include this act in the table of
contents.
Section 3. Comptroller General assessment
Subsection (a) requires the Comptroller General of the
United States to, within one year of enactment of this Act,
provide a report to the Committee on Homeland Security and
Governmental Affairs and the Select Committee on Intelligence
of the Senate, and the Committee on Homeland Security and the
Permanent Select Committee on Intelligence of the House of
Representatives. The report must include an assessment of the
implementation of the intelligence doctrine, policies,
standards and programs and evaluate the extent privacy, civil
rights and civil liberties protections are included in the
doctrine. The report must also assess the effectiveness of
intelligence and intelligence-related training programs
provided to the intelligence components of the Department,
including training programs that involve international and
private sector intelligence and intelligence-related
information.
Subsection (b) requires the Comptroller General to assess
changes in standards before and after the enactment of this
Act.
Subsection (c) requires the Secretary of Homeland Security
to provide the Comptroller General access to all data relevant
to the Comptroller General's responsibilities related to this
report.
Section 4. Analysts for the Chief Intelligence Officer
This section requires the Secretary of Homeland Security to
provide the Chief Intelligence Officer staff with appropriate
knowledge to assist the Chief Intelligence Officer.
Section 5. Savings clause
Subsection (a) provides that the definition of the term
``intelligence community,'' has the same meaning provided in
section 3(4) of the National Security Act of 1947 (50 U.S.C.
30003(4)).
Subsection (b) establishes that this Act will have no
effect on the authorities and responsibilities of the Coast
Guard.
V. Evaluation of Regulatory Impact
Pursuant to the requirements of paragraph 11(b) of rule
XXVI of the Standing Rules of the Senate, the Committee has
considered the regulatory impact of this Act and determined
that the Act will have no regulatory impact within the meaning
of the rules. The Committee agrees with the Congressional
Budget Office's statement that the Act contains no
intergovernmental or private-sector mandates as defined in the
Unfunded Mandates Reform Act (UMRA) and would impose no costs
on state, local, or tribal governments.
VI. Congressional Budget Office Cost Estimate
U.S. Congress,
Congressional Budget Office,
Washington, DC, October 26, 2020.
Hon. Ron Johnson,
Chairman, Committee on Homeland Security and Governmental Affairs, U.S.
Senate, Washington, DC.
Dear Mr. Chairman: The Congressional Budget Office has
prepared the enclosed cost estimate for H.R. 2589, the Unifying
DHS Intelligence Components Act.
If you wish further details on this estimate, we will be
pleased to provide them. The CBO staff contact is Madeleine
Fox.
Sincerely,
Phillip L. Swagel,
Director.
Enclosure.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
H.R. 2589 would direct the Department of Homeland Security
(DHS) to manage and provide guidance for the use of
intelligence throughout the department. DHS is currently
carrying out activities similar to those required by the act.
Any new activities required under the legislation would not
require substantial action by the department. The act also
would require the Government Accountability Office to report on
how the intelligence policies and standards are implemented
throughout the department. In total, CBO estimates that over
the 2021-2025 period implementing H.R. 2589 would cost less
than $500,000; any spending would be subject to the
availability of appropriated funds.
On May 22, 2019, CBO transmitted a cost estimate for H.R.
2589, the Unifying DHS Intelligence Enterprise Act, as ordered
reported by the House Committee on Homeland Security on May 15,
2019. The two versions of the legislation are similar, and
CBO's estimates of their budgetary effects are the same.
The CBO staff contact for this estimate is Madeleine Fox.
The estimate was reviewed by H. Samuel Papenfuss, Deputy
Director of Budget Analysis.
VII. Changes in Existing Law Made by the Bill, as Reported
In compliance with paragraph 12 of rule XXVI of the
Standing Rules of the Senate, changes in existing law made by
the bill, as reported, are shown as follows: (existing law
proposed to be omitted is enclosed in brackets, new matter is
printed in italic, and existing law in which no change is
proposed is shown in roman):
HOMELAND SECURITY ACT OF 2002
* * * * * * *
TITLE II--INFORMATION ANALYSIS
* * * * * * *
Subtitle A--Information and analysis; Access to information
* * * * * * *
SEC. 201. INFORMATION AND ANALYSIS.
(a) * * *
* * * * * * *
(e) The Secretary shall also provide the Chief Intelligence
Officer with a staff having appropriate expertise and
experience to assist the Chief Intelligence Officer.
* * * * * * *
SEC. 210H. HOMELAND INTELLIGENCE DOCTRINE.
(a) Definitions.--In this section--
(1) the term ``intelligence'' has the meaning given
that term in section 3 of the National Security Act of
1947 (50 U.S.C. 3003);
(2) the term ``intelligence information'' includes--
(A) information within the scope of the
information sharing environment established
under section 1016 of the Intelligence Reform
and Terrorism Prevention Act of 2004 (6 U.S.C.
485);
(B) national intelligence, as defined in
section 3 of the National Security Act of 1947
(50 U.S.C. 3003); and
(C) any other intelligence collected,
gathered, processed, analyzed, produced, or
disseminated by an intelligence component of
the Department necessary to execute the mission
and discharge the lawful preventive,
protective, enforcement, or other
responsibilities of the Secretary; and
(3) the term ``terrorism information'' has the
meaning given that term in section 1016 of the
Intelligence Reform and Terrorism Prevention Act of
2004 (6 U.S.C. 485).
(b) Developing Intelligence Doctrine.--Not later than 180
days after the date of the enactment of this section, the
Secretary shall--
(1) develop and disseminate written Department-wide
intelligence doctrine for the intelligence components
of the Department;
(2) develop Department-wide policies, standards, and
programs for--
(A) training relating to the collection,
processing, analysis, and dissemination of
intelligence information, intelligence-related
information, and terrorism information by
personnel within the intelligence components of
the Department; and
(B) coordinating the intelligence and
intelligence-related education of personnel
within the intelligence components of the
Department; and
(3) develop Department-wide policies for gathering
and developing lessons learned relating to intelligence
information, intelligence-related information, and
terrorism information, disseminating the lessons
learned to personnel within the intelligence components
of the Department, and using the lessons learned to
inform the further development of the intelligence
doctrine.
(c) Contents.--The intelligence doctrine, policies,
standards, and programs required under subsection (b) shall, at
a minimum, include the following:
(1) A description of the fundamental principles
guiding the collection, processing, analysis, and
dissemination of intelligence information by, and
oversight of the intelligence activities of, the
intelligence components of the Department.
(2) A standardized terminology and summary describing
roles, relationships, responsibilities, and processes
relating to the collection, processing, analysis,
production, and dissemination of intelligence
information by, and oversight of the intelligence
activities of, the intelligence components of the
Department.
(3) The use of the intelligence doctrine as a
foundation for and to inform the development of the
Department-wide training and education referred to in
subsection (b)(2), and the incorporation, as
appropriate, of intelligence and intelligence-related
exercises, best practices, and lessons learned.
(4) Guidance for the dissemination of intelligence
information, including within the Department, among and
between Federal departments and agencies, among and
between members of the intelligence community, among
and between State, local, Tribal, and Territorial
governments (including law enforcement agencies), with
foreign partners, and with the private sector.
(5) The protection of privacy, civil rights, and
civil liberties in the conduct of intelligence and
intelligence-related activities by the intelligence
components of the Department.
(6) Any mission statements, strategic and planning
documents, and other pertinent documents relevant to
the organizational structure and guidance provided to
the intelligence components of the Department.
(d) Form.--The intelligence doctrine, policies, standards,
and programs required under subsection (b) shall be
disseminated in unclassified form, but may include a classified
annex.
(e) Review and Revision.--
(1) Required reviews.--Not later than 1 year after
the date of enactment of this section, and every year
thereafter for 4 years, the Secretary shall conduct a
review of and, as appropriate, revise the intelligence
doctrine, policies, standards, and programs required
under subsection (b).
(2) Subsequent reviews.--After the end of the period
described in paragraph (1), the Secretary shall conduct
a review of and, as appropriate, revise the
intelligence doctrine, policies, standards, and
programs required under subsection (b) on an as needed
basis.
* * * * * * *
[all]