Nuclear Security: DOE Needs a More Accurate and Efficient Security Clearance Program

Highlights

In response to a congressional request, GAO reviewed the Department of Energy's (DOE) personnel clearance and security program, including: (1) the timeliness of the process for granting, suspending, and revoking clearances; (2) factors that affect the clearance work load; and (3) the accuracy of DOE clearance databases.

Recommendations

Recommendations for Executive Action

Agency Affected	Recommendation	Status
Department of Energy	To improve the effectiveness of the PEI process, the Secretary of Energy should ensure contractor compliance with security clearance PEI requirements.	Closed – Implemented DOE has taken actions to fully implement this recommendation.
Department of Energy	To improve the effectiveness of the PEI process, the Secretary of Energy should amend its regulations to require contractors, as part of PEI, to specifically address drug and other substance abuse in the determination of employee suitability.	Closed – Implemented DOE orders on drugs in facilities were revised.
Department of Energy	To improve the timeliness of security clearance processing and avoid unnecessary costs and adverse impacts on security and productivity, the Secretary of Energy should establish required time frames for accomplishing all major security clearance steps.	Closed – Implemented Time standards were published in DOE Order 5631.2B.
Department of Energy	To improve the timeliness of security clearance processing and avoid unnecessary costs and adverse impacts on security and productivity, the Secretary of Energy should take needed actions to ensure that sufficient staff are assigned to implement and adhere to those time frames.	Closed – Implemented DOE is continuing its re-evaluation of the potential for staff realignments and use of contractors as part of periodic program reviews and resource planning.
Department of Energy	To improve the timeliness of security clearance processing and avoid unnecessary costs and adverse impacts on security and productivity, the Secretary of Energy should assess whether a simplified administrative review process is appropriate for DOE and, if so, adopt it.	Closed – Implemented The Deputy Secretary, on December 30, 1992, directed that the Hearing Officer function be assigned to Hearings and Appeals. Transition of this function from Security Affairs took place during fiscal year 1993. In addition, 10 C.F.R. 710 was modified to reflect the changes and was published in the Federal Register. All actions are complete.
Department of Energy	To ensure a reliable and efficient security clearance database, the Secretary of Energy should validate the accuracy and completeness of its security clearance database from the contractor files to the Central Personnel Clearance Index and develop appropriate updating techniques to ensure they remain current.	Closed – Implemented Modernization of system and data file reconciliation is completed.
Department of Energy	To ensure a reliable and efficient security clearance database, the Secretary of Energy should determine whether one DOE database, properly maintained, can serve all DOE clearance needs, including those of its contractors, rather than keeping the current multi-layered system.	Closed – Implemented A decision was made at the end of the modernization project to not require consolidation.
Department of Energy	To improve control of classified information, the Secretary of Energy should revise its regulations governing the need-to-know principle to establish the appropriate approval level for need-to-know decisions and indicate how such decisions should be made.	Closed – Implemented Authorities and procedures were published in DOE Order 5635.1A.
Department of Energy	To improve control of classified information, the Secretary of Energy should revise its security training program to: (1) develop more uniform need-to-know training materials that cover all aspects of the principle, including specific instructions on implementation; and (2) ensure that such training is provided annually to employees as currently required.	Closed – Implemented A video tape was completed and distributed to facilities to be used as annual training refreshers.

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Energy

Contractor personnelData integrityFederal employeesNational defense operationsNuclear weapons plant securityPerformance appraisalPersonnel recruitingSecurity clearancesSystems compatibilityDatabases