	Executive Branch Agencies Have Made Progress Reforming the Security Clearance Process, but Long-Standing Key Initiatives Remain Incomplete

		The PAC Has Made Progress Reforming the Personnel Security Clearance Process

The PAC has made progress in reforming the personnel security  clearance process and implementing various security clearance reform  initiatives. Actions in response to these  recommendations included ODNI and OPM jointly issuing Quality  Assessment Standards in January 2015, which establish federal  guidelines for assessing the quality of investigations. We recommended,  among other things, that the Director of National Intelligence develop an  implementation plan. In our December 2017 report, we recommended that the  Director of National Intelligence, in his capacity as the Security Executive  Agent, and in coordination with the other PAC Principals, establish a  milestone for the completion of government-wide performance measures  for the quality of investigations. While ODNI has taken  steps to address timeliness challenges, it has not developed a  government-wide approach to help agencies improve the timeliness of  initial personnel security clearances. However, NBIB faces challenges in  developing a plan to reduce the size of the investigation backlog to a  manageable level. For fiscal year 2016, the PAC reported that the  government-wide average for executive branch agencies did not meet the 40-day investigation objective for the fastest 90  percent of initial secret clearances for any quarter; the averages  ranged from 92 days to 135 days; did not meet ODNI’s revised investigation objective for the fastest 90  percent of initial top secret clearances for any quarter; the averages  ranged from 168 days to 208 days; did not meet the goal of conducting the investigative portion of  periodic reinvestigations within 150 days for the fastest 90 percent of  cases for any quarter; the averages ranged from 175 days to 192  days; and did not meet the goal of completing periodic reinvestigations—the  end-to-end goal—within 195 days for any quarter of fiscal year 2016;  the averages ranged from 209 days to 227 days. Our analysis of timeliness data for specific executive branch agencies  showed that the percentage of agencies meeting established  investigation and adjudication timeliness objectives for initial secret and  top secret personnel security clearances and periodic reinvestigations  decreased from fiscal year 2012 through 2016. Backlog of Background Investigations Has Steadily Increased since 2014

The executive branch’s challenges in meeting investigation timeliness  objectives for initial personnel security clearances and periodic  reinvestigations have contributed to a significant backlog of background  investigations at the primary entity responsible for conducting background  investigations, NBIB. In December 2017, we recommended that the  Director of NBIB develop a plan, including goals and milestones, that  includes a determination of the effect of the business process  reengineering efforts on reducing the backlog to a “healthy” inventory of  work, representing approximately 6 weeks of work. NBIB concurred with  this recommendation. NBIB documentation shows that the backlog of pending investigations  increased from about 190,000 in August 2014 to more than 710,000 as of  February 2018, as shown in figure 1. In  addition, executive branch agencies noted the increased investigative  requirements stemming from the 2012 Federal Investigative Standards as  a further challenge to meeting established timeliness objectives in the  future. NBIB concurred  with this recommendation. DOD’s  investigations represent the majority of the background investigations  conducted by NBIB.
Why GAO Did This Study

The government-wide personnel security clearance process was designated as a high-risk area in January 2018 because it represents one of the highest management risks in government.
This testimony focuses on, among other things, the extent to which executive branch agencies (1) made progress reforming the security clearance process, and (2) are meeting timeliness objectives and reducing NBIB's investigative backlog.
GAO's statement is based on information from public versions of its reports issued in November 2017 on continuous evaluation of clearance holders and in December 2017 on clearance reform efforts. Information that ODNI and OPM deemed sensitive was omitted. For those reports, GAO reviewed Executive Orders and PAC strategic documents; obtained data from the Office of the Director of National Intelligence (ODNI) on the timeliness of initial clearances and periodic reinvestigations; and interviewed officials from ODNI, NBIB, and other agencies.

What GAO Found

Executive branch agencies have made progress reforming the security clearance process, but long-standing key initiatives remain incomplete. Progress includes the issuance of federal adjudicative guidelines and updated strategic documents to help sustain the reform effort. However, agencies still face challenges in implementing aspects of the 2012 Federal Investigative Standards—criteria for conducting background investigations—and in implementing a continuous evaluation program. In addition, while agencies have taken steps to establish government-wide performance measures for the quality of investigations, neither the Director of National Intelligence (DNI) nor the interagency Security, Suitability, and Credentialing Performance Accountability Council (PAC) have set a milestone for completing their establishment.
GAO's analysis of timeliness data for specific executive branch agencies showed that the number of agencies meeting investigation and adjudication timeliness objectives for initial secret and top secret security clearances and periodic reinvestigations decreased from fiscal years 2012 through 2016. For example, while 73 percent of agencies did not meet timeliness objectives for initial clearances for three of four quarters in fiscal year 2012, 98 percent of agencies did not meet these objectives in fiscal year 2016. The DNI has not developed a government-wide plan, including goals and milestones, to help agencies improve timeliness. Agencies' challenges in meeting timeliness objectives have contributed to a significant backlog of background investigations at the agency that is responsible for conducting the majority of investigations, the National Background Investigations Bureau (NBIB). NBIB documentation shows that the backlog of pending investigations increased from about 190,000 in August 2014 to more than 710,000 as of February 2018, as shown below. NBIB leadership has not developed a plan to reduce the backlog to a manageable level.

What GAO Recommends

In November 2017 and December 2017, GAO made 12 recommendations to the DNI and the Director of NBIB, including setting a milestone for establishing measures for investigation quality, developing a plan to meet background investigation timeliness objectives, and developing a plan for reducing the backlog. NBIB concurred with the recommendations. The DNI concurred with some, but not all, of GAO's recommendations. GAO continues to believe they are valid.