Recommendation: The Inspector General of the IC should establish specific timeliness objectives for completing investigations conducted by the OIG of the IC. (Recommendation 1)

Agency: Office of the Director of National Intelligence: Office of the Inspector General of the Intelligence Community
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Inspector General of the IC should establish a time frame to finalize revisions to the OIG's investigations manual. (Recommendation 2)

Agency: Office of the Director of National Intelligence: Office of the Inspector General of the Intelligence Community
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Inspector General of the IC should establish a process to regularly review and update the OIG's investigative procedures. (Recommendation 3)

Agency: Office of the Director of National Intelligence: Office of the Inspector General of the Intelligence Community
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Inspector General of the IC should develop and implement a quality assurance program for the OIG's investigations division. This program should consist of routine internal and external quality assurance reviews consistent with CIGIE standards and guidance. (Recommendation 4)

Agency: Office of the Director of National Intelligence: Office of the Inspector General of the Intelligence Community
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Inspector General of the IC should develop a process to facilitate external quality assurance reviews of other IC-element OIGs' investigations divisions. (Recommendation 5)

Agency: Office of the Director of National Intelligence: Office of the Inspector General of the Intelligence Community
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Inspector General of the IC should ensure that as the ICIG finalizes its draft investigations procedures and investigator training plan, these documents provide an approach that systematically links the requisite knowledge, skills, and abilities and training requirements throughout an investigator's career progression. (Recommendation 6)

Agency: Office of the Director of National Intelligence: Office of the Inspector General of the Intelligence Community
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of National Intelligence should establish and document results-oriented goals that include specific targets or milestones for the IC CAE program. (Recommendation 1)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its August 2020 response, ODNI noted that in preparation for the transition of the Intelligence Community Centers for Academic Excellence (IC CAE) program from the Defense Intelligence Agency to ODNI, the ODNI commissioned an independent study in 2019 to assess program performance and barriers to success. ODNI noted that this study, in conjunction with the GAO report, are informing the development of a program strategy and sound business practices that will prescribe goals and measurable objectives. These efforts are expected to be completed in late 2020, at which time ODNI plans to develop a companion Strategic Implementation Plan that will set the foundation for behavior and reporting criteria across all IC CAE grant-receiving institutions, legacy schools, and stakeholders. ODNI noted that the plan which is expected to be completed in the third quarter of fiscal year 2021, will include an annual evaluation process linked to survey results and documented lessons learned. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence should establish and document strategies to achieve the results-oriented goals that are established for the IC CAE program. (Recommendation 2)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its August 2020 response, ODNI noted that in preparation for the transition of the Intelligence Community Centers for Academic Excellence (IC CAE) program from the Defense Intelligence Agency to ODNI, the ODNI commissioned an independent study in 2019 to assess program performance and barriers to success. ODNI noted that this study, in conjunction with the GAO report, are informing the development of a program strategy and sound business practices that will prescribe goals and measurable objectives. These efforts are expected to be completed in late 2020, at which time ODNI plans to develop a companion Strategic Implementation Plan that will set the foundation for behavior and reporting criteria across all IC CAE grant-receiving institutions, legacy schools, and stakeholders. ODNI noted that the plan which is expected to be completed in the third quarter of fiscal year 2021, will include an annual evaluation process linked to survey results and documented lessons learned. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence should develop and document a process to identify and continuously evaluate external factors that could affect the program's ability to achieve identified goals. This should include, but not be limited to, a consideration of program branding and post-grant sustainment. (Recommendation 3)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its August 2020 response, ODNI noted that in preparation for the transition of the Intelligence Community Centers for Academic Excellence (IC CAE) program from the Defense Intelligence Agency to ODNI, the ODNI commissioned an independent study in 2019 to assess program performance and barriers to success. ODNI noted that this study, in conjunction with the GAO report, are informing the development of a program strategy and sound business practices that will prescribe goals and measurable objectives. These efforts are expected to be completed in late 2020, at which time ODNI plans to develop a companion Strategic Implementation Plan that will set the foundation for behavior and reporting criteria across all IC CAE grant-receiving institutions, legacy schools, and stakeholders. ODNI noted that the plan which is expected to be completed in the third quarter of fiscal year 2021, will include an annual evaluation process linked to survey results and documented lessons learned. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence should define and document comprehensive performance measures for the IC CAE program, collect and evaluate the completeness and reliability of information it receives from grant recipients and IC elements, and report this information on a regular basis. (Recommendation 4)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its August 2020 response, ODNI noted that it held virtual listening session in early fiscal year 2020 with Intelligence Community Centers for Academic Excellence (IC CAE) program managers and principal investigators to inform the development of meaningful performance measures and reporting criteria. ODNI noted that the criteria was collected using standardized, repeatable processes to ensure both accuracy and completeness during site visits and performance reviews for active grant recipients. ODNI further noted that it plans to integrate the criteria from the listening sessions into the Strategic Implementation Plan, which it expects to complete in the third quarter of fiscal year 2021. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence should establish a requirement for and develop a plan to periodically evaluate the IC CAE program's performance through objective measurement and systematic analysis. (Recommendation 5)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its August 2020 response, ODNI noted that it held virtual listening session in early fiscal year 2020 with Intelligence Community Centers for Academic Excellence (IC CAE) program managers and principal investigators to inform the development of meaningful performance measures and reporting criteria. ODNI noted that the criteria was collected using standardized, repeatable processes to ensure both accuracy and completeness during site visits and performance reviews for active grant recipients. ODNI further noted that it plans to integrate the criteria from the listening sessions into the Strategic Implementation Plan, which it expects to complete in the third quarter of fiscal year 2021. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence should develop a process for assessing why some IC elements are not participating in the IC CAE program and address these reasons in order to ensure the program is structured to meet the needs of IC elements. (Recommendation 6)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its August 2020 response, ODNI noted that was in the process of developing an engagement strategy for the reintegration of Intelligence Community Centers for Academic Excellence (IC CAE) legacy schools to ensure prior investments are capitalized on and to maximize outreach efforts. ODNI also noted that it is routinely leveraging multiple interagency IC-wide working groups to engage with IC elements and stakeholders to increase its understanding of barriers to engaging with IC CAE, as well as to develop a community-wide understanding of the benefits associated with engagement. ODNI plans to include the results in the Strategic Implementation Plan, which it expects to complete in the third quarter of fiscal year 2021, and noted that it will routinely update these efforts to ensure best practices are being implemented. The ODNI stated that it will use this ongoing process and dialogue to assess and seek to address such barriers and to improve ongoing IC element participation. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence should clearly define IC elements' roles and responsibilities for participation in the IC CAE program to better facilitate interagency collaboration in support of the program. (Recommendation 7)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: The Office of the Director of National Intelligence (ODNI) concurred with this recommendation. In its March 2020 response, ODNI noted that it was leveraging multiple interagency forums in an effort to improve IC element participation in the IC CAE program. ODNI also noted that it would and encourage the standardization and use of common practices by leveraging IC CAE schools for recruitment and hiring within diverse communities. Together, ODNI noted that it will use input from these efforts to shape a collaborative way ahead for increased and improved IC engagement based on community roles and responsibilities. These efforts will also be integrated into the program's Strategic Implementation Plan, which is expected to be completed in late 2021 and will set the foundation for behavior and reporting criteria across all IC CAE institutions and stakeholders. We will continue to monitor the status of this recommendation.

Recommendation: The Director of National Intelligence, in his capacity as Security Executive Agent, and in coordination with the other Security, Suitability, and Credentialing Performance Accountability Council Principals--the Deputy Director for Management of Office of Management and Budget (OMB) in his capacity as Chair of the PAC, the Director of OPM, and the Under Secretary of Defense for Intelligence--should establish a milestone for the completion of government-wide performance measures for the quality of investigations. (Recommendation 1)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI stated that it non-concurred with many of the report's recommendations, but did not state with which recommendations it did not concur. In August 2019, ODNI officials pointed to the Quality Assessment Reporting Tool as the mechanism to measure the quality of background investigations. However, officials also stated that they had not finalized collection of all required data to establish performance measures and, while QART contains a significant data sample size, the data call issued in January 2019 will provide additional information for comparative analysis to develop performance measures for the entire Executive Branch. Officials agreed that since DOD does not use QART, there needed to be ongoing discussions with them to ensure quality standards are met. We will continue to follow-up on the status of this recommendation.

Recommendation: The Director of National Intelligence, in his capacity as Security Executive Agent, and in coordination with the other Security, Suitability, and Credentialing Performance Accountability Council Principals--the Deputy Director for Management of OMB in his capacity as Chair of the PAC, the Director of OPM, and the Under Secretary of Defense for Intelligence--should conduct an evidence-based review of the investigation and adjudication timeliness objectives for completing the fastest 90 percent of initial secret and initial top secret security clearances.(Recommendation 2)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI stated that it non-concurred with many of the report's recommendations, but did not state with which recommendations it did not concur. ODNI officials stated in August 2019 that Trusted Workforce 2.0 is specifically developing timeliness goals which are achievable and based on empirical evidence. We will continue to follow-up on the status of this recommendation.

Recommendation: The Director of National Intelligence, in his capacity as Security Executive Agent, and in coordination with the other Security, Suitability, and Credentialing Performance Accountability Council Principals--the Deputy Director for Management of OMB in his capacity as Chair of the PAC, the Director of OPM, and the Under Secretary of Defense for Intelligence--should develop a government-wide plan, including goals and interim milestones, to meet those timeliness objectives for initial personnel security clearance investigations and adjudications. (Recommendation 3)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI stated that it non-concurred with many of the report's recommendations, but did not state with which recommendations it did not concur. In its August 2019 response on the status of this recommendation, ODNI officials stated that the transfer of background investigations from NBIB to DOD will provide an opportunity for the Executive Agents to reassess and address investigative timeliness issues and strengthen management of sensitive information. Moreover, they stated that Trusted Workforce 2.0 will give them the ability to significantly reduce the timelines required to deliver a Secret and Top Secret clearance. We will continue to follow-up on the status of this recommendation.

Recommendation: The Director of National Intelligence should develop a plan for monitoring continuous evaluation performance, to include assessing continuous evaluation at various phases of implementation. (Recommendation 3)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI generally concurred with this recommendation. As of November 2019, ODNI has provided information that may allow us to close this recommendation. We are currently evaluating that information and will update this recommendation once that evaluation is complete.

Recommendation: The Director of National Intelligence should develop performance measures for continuous evaluation that agencies must track and determine a process and schedule for agencies to regularly report those measures to ODNI. At minimum, these performance measures should be clear, quantifiable, objective, and linked to measurable goals. (Recommendation 4)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI generally concurred with this recommendation. As of November 2019, ODNI provided information that may allow us to close this recommendation. We are currently evaluating this information and once that evaluation is complete, we will update the status.

Recommendation: The Director of National Intelligence should, in coordination with the Deputy Director for Management of the Office of Management and Budget in the capacity as Chair of the Security, Suitability, and Credentialing Performance Accountability Council, conduct an evidence-based review of the timeliness goal of 195 days for completing the fastest 90 percent of periodic reinvestigations and the associated goals for the different phases of periodic reinvestigations, and adjust the goal if appropriate, taking into consideration available resources, the additional workload of continuous evaluation, and the risks associated with individuals retaining access to classified information without determining their continued eligibility. (Recommendation 5)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI generally concurred with this recommendation. As of November 2019, ODNI stated that with the advent of Trusted Workforce 2.0, discussions are being held about timeliness goals and the periodic reinvestigation model writ large. Once we confirm what actions have been taken, we will update the status of this recommendation.

Recommendation: The Director of National Intelligence should, once ODNI has further defined the continuous evaluation program, to include issuing a Security Executive Agent Directive and developing an implementation plan, in coordination with the Deputy Director for Management of the Office of Management and Budget in the capacity as Chair of the Security, Suitability, and Credentialing Performance Accountability Council, assess the potential effects of continuous evaluation on agency resources and develop a plan, in consultation with implementing agencies, to address those effects, such as modifying the scope of periodic reinvestigations, changing the frequency of periodic reinvestigations, or replacing periodic reinvestigations for certain clearance holders. (Recommendation 6)

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI generally concurred with this recommendation. As of November 2019, ODNI provided information that may allow us to close this recommendation. We are currently evaluating that information and once that evaluation is complete, we will update the status of this recommendation.

Recommendation: To facilitate department-wide review and assessment of the quality of the personnel security clearance revocation process, the DNI should, in consultation with the Secretaries of Defense and Homeland Security, develop performance measures to better enable them to identify and resolve problems, and direct the collection of related revocation and appeals information.

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI concurred with our recommendation. As of November 2019, ODNI stated that review proceedings considerations have been a focus of the ongoing Trusted Workforce 2.0 discussions with a view toward whether policy changes were necessary. ODNI further stated that one key to further examination of this issue is to gather metrics which can inform any subsequent adjustment to the current Executive Branch revocation and review proceedings area. They stated that metrics collection has begun with a January 2019 data call which includes the capture of metrics on denials, revocations, and national security adjudications resulting in an adverse adjudication of eligibility for access to classified information or eligibility to hold a sensitive position. Metrics collected is expected to be completed in 2020. When we confirm what data fields are included in the metrics collection and whether this meets the intent of our recommendation, we will provide further updates.

Recommendation: To help ensure that similarly situated individuals are treated consistently, and to facilitate oversight and help ensure the quality of the security clearance revocation process, the DNI should review whether the existing security clearance revocation process is the most efficient and effective approach. In this review, the DNI should consider whether there should be a single personnel security clearance revocation process used across all executive-branch agencies and workforces, with consideration of areas such as the timing of the personal appearance in the revocation process, and the ability to cross-examine witnesses. Further, to the extent that a single process or changes to the existing parallel processes are warranted, the DNI should consider whether there is a need to establish any policies and procedures to facilitate a more consistent process, and recommend as needed any revisions to existing executive orders or other executive-branch guidance.

Agency: Office of the Director of National Intelligence
Status: Open

Comments: ODNI concurred with our recommendation. As of November 2019, ODNI stated that there is not currently an ongoing effort to review the security clearance revocation process across all executive branch agencies and workforces. Instead, the Trusted Workforce 2.0 efforts is conducting an end-to-end review of the current security clearance process for the executive branch and ODNI is currently gathering metrics on adverse security actions which can inform any subsequent determination on whether the revocation process requires policy adjustment by the DNI. When we confirm what actions DNI has taken in response to this recommendation, we will provide updated information.