Security Clearances: FBI Has Enhanced Its Process for State and Local Law Enforcement Officials
Published: 2004-04-30T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: 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. The Ranking Minority Member, Subcommittee on Administrative Oversight and the Courts, Senate Committee on the Judiciary 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.
section_title: What GAO Found
paragraphs: 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. 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 Joint Terrorism Task Force (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. 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.

section_title: Letter
paragraphs: 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. 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. 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.
subsections: section_title: Background
paragraphs: 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. 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. 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. 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.
section_title: Federal Government- Wide Policies Apply to State and Local Officials Seeking FBI- Issued Security Clearances
paragraphs: 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.
subsections: section_title: General FBI Criteria for Granting Security Clearances Apply Equally to FBI Employees and State and Local Officials
paragraphs: 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.
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.
section_title: Various FBI and Non-FBI Stakeholders Involved in Six-Step Security Clearance Process
paragraphs: 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.
section_title: Step 1: Determining Need
paragraphs: 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.
section_title: Step 2: Submission of Application Materials
paragraphs: 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.
section_title: Step 3: Applicant Interview
paragraphs: 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.
section_title: Step 4: Routing and Investigation
paragraphs: 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,  fingerprint checks, and Office of Personnel Management and Defense  Clearance and Investigations Index inquiries .  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.
section_title: Step 5: Adjudication
paragraphs: 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. 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.
section_title: Step 6: Notification and Activation
paragraphs: 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.
section_title: 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
paragraphs: 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.
subsections: section_title: The FBI Processed the Majority of Top Secret Applications from State and Local Officials within its Time Frame Goals
paragraphs: 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.
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.
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.
section_title: 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
paragraphs: 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. 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.
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.
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.
section_title: Various Factors Could Affect the FBI’s Processing Time Frames
paragraphs: 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.
section_title: 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
paragraphs: 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.
subsections: section_title: State and Local Officials and the FBI Have Consulted to Identify Ways to Improve the Security Clearance and Information Sharing Processes
paragraphs: 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.
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,  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.
section_title: FBI Field Office Officials and State and Local Officials Initially Lacked Understanding of the Security Clearance Application Process and Expressed Other Concerns
paragraphs: 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.
section_title: FBI Outreach to State and Local Officials Helped Clarify Security Clearance Requirements and Time Frames
paragraphs: 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.
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.
section_title: FBI Headquarters Provided a Checklist of Procedures for Processing Clearances, Added Staff, and Developed A Database Tool to Enhance Efficiency
paragraphs: 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.
section_title: The FBI Established New Terrorism-Related Task Forces and Invited State and Local Officials to Participate
paragraphs: 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.
section_title: The FBI Utilizes Bulletins and Information Networks to Share Information with State and Local Officials
paragraphs: 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.
section_title: Agency Comments and Our Evaluation
paragraphs: 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 ekstrandl@gao.gov 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.
section_title: Appendix I: Scope and Methodology
paragraphs: 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.