-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-04-596		

TITLE:     Security Clearances: FBI Has Enhanced Its Process for 
State and Local Law Enforcement Officials

DATE:   04/30/2004
				                                                                         
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entitled 'Security Clearances: FBI Has Enhanced Its Process for State 
and Local Law Enforcement Officials' which was released on April 30, 
2004.

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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 
FBIï¿½s 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 FBIï¿½s 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 GAOï¿½s 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 [email protected].

[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 [email protected] 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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