office of the director of national intelligence (odni) semi-annual
TRANSCRIPT
Description of document: Office of the Director of National Intelligence (ODNI) Office of the Inspector General (OIG) Semi-Annual Reports, 2010 – 2012*
Requested date: 24-February-2013 Released date: 04-June-2013 Posted date: 24-June-2013 Source of document: Freedom of Information Act Request
Chief, Information and Data Management Group Office of the Director of National Intelligence Washington, D.C. 20511 Fax: (703) 874-8910 Email: [email protected]
* Note: Reports contained in this FOIA response are:
• Semiannual Report, 1 January 2010 - 30 June 2010 • Semiannual Report, 1 July 2010 - 31 December 2010 • Semiannual Report to the Director of National
Intelligence for the period of 8 November 2011 to 30 June 2012
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OFFICE OF THE D IRECTOR OF NATIONAL I NTELLIGENCE
WASHINGTON, DC 20511
JUN 4 2013
Reference: DF-2013-00080
This is in response to your 24 February 2013 email addressed to the Office of the Director of National Intelligence (ODNI), wherein you requested, under the Freedom of Information Act (FOIA), "Office of the Director of National Intelligence (ODNI) Semi-Annual reports from 2010 to the present."
Your request was processed in accordance with the FOIA, 5 U.S.C § 552, as amended. The ODNI found three documents responsive to your request. Upon review, it is determined that the documents may be released in segregable form with deletions made pursuant to FOIA exemptions (b)(l), (b)(3), and (b)(5).
Exemption (b )(1) protects information which is currently and properly classified in accordance with Executive Order 13526. Exemption (b)(3) protects information that is specifically covered by statute. In this case, the applicable statute is the Central Intelligence Agency Act of 1949, 50 U.S.C. § 403g, as amended, which protects, among other things, the names of CIA and ODNI personnel and the National Security Act of 194 7 as amended, which protects information pertaining to intelligence sources and methods. Exemption (b)(5) protects privileged interagency or Intra-Agency information.
The documents, as approved for release, are enclosed. Should you wish to appeal this determination, please do so in writing within 45 days of the date of this letter to:
Office of the Director of National Intelligence Information Management Office Washington, DC 20511
If you have any questions, please call the Requester Service Center at (703) 874-8500.
su,17 ~ JenniferHudson~ 0 Chief, Information and Data Management Group
Enclosures
SE~RN I
(U) Office of the Director of National Intelligence
Office of the Inspector General
. @ Semiannual Report 1 January 2010 - 30 June 2010
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• (U) A Message From the lmpector General
(U) The Office of lhe Direclor of Nllional Intelligence (ODNI) Office of~ lnlpector General (OIG) made aipif'acant COlllributions to the miuions of the ODNI and the Intellipce Community (IC) during the 1 January 2010 through 30 June 2010 .reporting period. We conducted complex audits, inspections. investigaaionS. and reviews aimed Ill improving the efficiency and effectiveness of ODNI and IC propama. In addition, we led several initiatives that promoted intcpalion and collaboraaion ac;rou the IC ln&peclCJI' General (IG) COIMlunity in fwtbe:rance of the objectives of the Intelligence Reform and Terrorism.Prevention Act o.f ~. the National lntelligenc. Stra~gy. md ODNI critical missions. · .
~UO) In response to the ananpted Christmas Day bombin1 of Northwest. Flight ~3. we cooidinaled efforti by IC IGs to updare the status of the terrorist watcblisting recommendations they bad made in previous OIG reports. These IC IG reports focused on recommendations for improving standards and policies for nominatiq individuals to the consolidated terrorist watchlist. AJ of January 2010, 70 percent· of these IG recommendalions were implemented by IC agencica. During the latter part of Ibis reportina period. IC 10· apncies · implemented new policies and initiatives governing terrorist watcblisting to addreu the issues presented by the Fliaht ~3 incidcoL .
(U/~UO) During this reporting period, we completed two significant audits, which are described in detail in lhe Completed Projects section of Ibis ~ 1be first audit. Audit of tlw Intimal Conlroll o!H4r Office of DinctQr of National lnt1Uig1nc1 Fllllll Balance willt Tmuury (FBWT), addn:ssed.intemal controls necessll')' to facilitlle timely reconcilillions of the ODNl'a FBWT accounts on a regular and recurring basis. 1be second audit. lncmuing the Value of tlw lnt1Uig1nc1 Conuruusity's F1tleral l'ffo'nnation Security Managonent Act (FISMA) R1ports, · identified ways to enhance the thoroushness. miability. and comparability of IC agencies' FISMA reporting.
(U) From a community perspective. we coftlinued to enhance collaboration in the IC 10 community throush the 16111 Annual IC lnlpectOn General Confe1'ence and the Sec:ond Annual IC IO Awards Ceremony. 1be Annual Conference was held al the National R~unce Office (NRO) and wu IUaldcd by over 280 IC 010 profeasioaala. Conference panels and discuuiom lddreued IC mlinagement cballenpa, congresSional ovenight perspectives.. cybersccurity issues. practical tools for 010 projects. and procumneot irregularities.
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The 22 June 2010 IC IG Awards Ceremony. hosted by Vice Adminl Robert B. Muma. . Dinictor. National Ga>spadal-Intelliacnce Agency (NGA). bonoreclthe accomplisbmenla of JC
· OIG projects and prof~onals. includin1 lifetime achievement awards for two IG profe$Sional&. each with over 30 :yean of OIG experience .•.
(U) We alBO continued to. support the DNI and senior ODNI officials in enbancing the mission of the ODNI. ODNI rilanapment worked diligendy to illlplement pending OIG m:ommendaaiom such that 96 percent of OIG ~ODS made in ft,pons issued since 2007 are now cidier closed or reso1ved. Included among lht; ftlcommendations implemented.in this reporting period arc recommendaaions from our inspection of IC Acqwsition OversiPt. our review of die IC Civilian Joint Duty Program.' and our·audit of int.emal ~tmls over the ODNl's Fund Balance with Tn:asury.
(U) In June 2010, I appointed Bdwan:I Haugland as Assistant Insp:ctor Gcncnl for the · lnspec1ions Division. Bd comea to the OIG with over 25 years experience in the ~. induding service iq the ODNI. Central lnrelligence Agency, NGA. Dcplrtmcnt of Eneray Office of lnlelllgence, and in die private sector. We arc delighted to have Ed join our management team.
(U) We apprecillC the continued support for our mission from ODNI inanqcmcnt and Congress. Al the ODNI welcomes new leadership. the OIG will continue to aasist the ODNI in. accelerating integration, promoting efficiency and eft'ectivcOess, and reducing fraud, wasre. and
· abuse. I continue to be impiaaed and inspin:d by the talent and dedication of OIG personnel across the IC We arc commiltt.d to performing our work with the highest standards of professionalism. objectivity; independence. and integrity.
!::c.~~ Inspector General August2010
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SE~RN (U) Table of Contents
I. (U) O\'enlew
(U) 010 Orpnimion (U) 010 Personnel and Resoui'ces
R (lJ)OCmlpedenGeaeralAdhitles
(U) IC Inspectors General Fonun (U) Second Annual IC lnspectors General Awards Ceremony (U) 166 Annual IC lnspccton General Confemice (U) lntelli1ence Oversight Activities
IR (U) Completed Projec:b
. (U) Inspections (U)Audits . (U) lnveStlptions
IV. (U) Oqaln1 Projec:b ad AcdYldel
(U) Inspections and Reviews (U)Audits (U) lnvestipdons
V. (U)Co ...... ulEapaemeatl
VI. (U) Stat of OIG Rec:ommeadatlo•• for Completed Reporb
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JG
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(U) Statu1 ofODNI OIG Recommadadon1MadeBetweea280'7 ad 2018 A-1
Semiannu Report I January 2010- 30June 2010
I. (U) Overview .
(U) The mi11ion of the Office of the Intpector General (OIG) ii to improve Intelligence Community (IC) pcrfonnance by: I) conducting oversight of the Office of the Director of National Intellipce (ODNI) and IC prognms and operations that fall within the authorities and responsibilities of the Director of National lntelliacncc (DNI); 2) exercising a unique crossagency focus; and 3) drawing upon the collaborative efforts of IC lri.spector General (IG) partners. The OIG conducts audits. investigations. inspections, and reviews of ODNI and IC performance to detect and deter waste, fraud, and abuse and to promote efficiency, effectiveness, and accountability. The OIG's completed and ongoing projects arc described in sections ill and IV. respectively, of this report.
(U) The OIG makes recommendations to the DNI for improving the performance of ODNI and IC programs and activities. Section VI of this report includes an update as of 30 June 2010 on the status ofODNI management's implementation of recommendations made in OIG reports completed since 2007.
(U) OIG Orpaization
(U) An organiution chart delineating the OIG's front office and division structure is below.
(U) Flpn I. OIG Orpmlldoa Cun 2010
Audi IMpecllone lftV911tigllllolw .......... ent Oventighf&·Pollcy . ~ -·~~~~Dlvlel~=°"·~~__.__..._~_D_lvlslon--'--'~~--1-.1~~"---vlew--~~~L.....L~~-Dlvlelon~-·~~----'-
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(U) The OIG is comprised of the following divisions:
(IJ) flpn 2. OIG DMllom 2010
Office of the Inspector General Divisions
Audit Dlv181on Executes program, mmpllance, and flnanclal audits and evaluations of ODNI and IC programs, Information technology, prvcurement, acquisitions, Internal controls, tlnancial statements, and financial management.
lftllPICtlon• Dlvl•lon Conduc:tl Inspections, reviews, and evaluations to improve IC-wide performance; examines Information access, collabonltlon, Intelligence collettlon, analysls, and compliance with laws and regulations.
lnvesll .. tlons Division Inv1111!tl9ates allegatlons of violations of criminal laws and admJnlstratlve regulations arising from the conduc.t of ODNI and IC employees and contrac:tors.
M•n•.....,..nt llftfews Division Conducts management and programmatic reviews of the OONI, Its centers, and the IC; evaluates management and J)l"OOl!SSeS to assist the IC in developing and implementing processes and procedunes to Improve bOth errectlveness and efticlency.
Ovenllght •ncl Polley Division Performs reviews of programs Ind activities to assess whether oversight and compliance are effective, monltol'S and analyzes trends and patterns concerning intetlfgence ovenlght actiVltles acrou the IC, and prepares reports on Intelligence oversight Issues In coordination with the ODNJ Offtce of General Counsel (OGC) for the President's tntelllgence Advisory Board's Intelligence Oversight Board {JOB}.
(V) OIG Penonael and Retoarcea
(U~O) To accomplish our IC-wide oversight roles and responsibilities. thC OIG bu developed a divcnic. highly-experienced workforce from a variety of professional backgrounds and IC clcmcnlB. Our staff includes pro~ionals with experience as auditors. investigators, attorneys. and inspectors within other OIGs across the IC. As a complement to these professionals, our staff also includes professionals with extcosive JC cx~rience working in military and civilian intelligence organizations as collectors. analyslB, and project managen.
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D. (U) IC Inspecton General Activities
(U) To achieve its ovenight objectives. the ODNI OIG facilitatei collaboration, infonnation sharing, and stratqic planning among the IC Inspectors General. This section highlights some of the ways the OIG fulftlled this mission during this reporting period.
(U) IC laspecton General Forum
(U) The ODNI IG chain the IC Inspectors General (IC IG) Forum, which meets quarterly to consult on topics of common in~t, to facilitate the development of cross-agency projects, and to promote the role of IC IGs across the IC. The ODNI OIG serves as the Executive Secretariat for the IC IG Fonun, performing such fimctions as hosting meetings, developing agendas, distributing pertinent documents, and maintajojng meeting minutes.
(U) During this reporting period, the IC IG Forum promoted collaboration and coordination among the IC IGs by exchanging ideas and work plaos, sharing best practices, 8nd identifying collaborative projects aft'ecting two or more IC OIGs. To this end, IC IGs continued to review acquisition oversight across the IC and planned to conduct in FY 2011 a concurrent inspection ofIC continuity of operations (COOP) and intelligence readiness during natiooal emergencies (discussed in detail in section IV). These reports will strengthen the collective role and effectiveness ofOIGs throughout the IC. In addition to these collaborative efforts, the IC IG Fonun sponsored the Second Annual IC IG Awards Ceremony (discussed .in detail below).
(U) As part of the IC IG Forum activities. the Deputy Inspector Generals' Working Group and Assistant Inspectors General (AIG) Working Groups for Audit, Inspections, and Investigations each met to exchange ideas on a wide variety of topics. The Deputy Inspector Generals' Working Group also served as the IC IG Awards Review Boant to select award recipients and make recommended revisions to the IC IG A wards Program. In addition, the ~ty Inspector Generals' Working Group developed a draft agenda and speakers for the IC IG 16 Annual Conference ~eld in May 2010.
(U) The AIGs for Investigations Working Group collaborated on proposed legislation affecting investigatiooa and exchanged best practices regarding proactive efforts to detect waste, fraud, and mismanagemenL It also shared the names of working targets to ensure all agencies are aware of any fraudulent schemes or efforts. The Working Group established a new Peer Review process, modeled after the current Council of Inspectors General on Integrity and Efficiency (CIGIE) peer review process. In J1Dle, a team designated by the Working Group implemented this new process when it conducted a Peer Review oflC OIGs' Offices of Investigations. The Group also encouraged and participated in the IC IG Joint Duty Rotational Assignment Program, collaborated on several joint investigations, and facilitated joint training within the IC.
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SECRET~RN Semiannual Report 1January2010-30June 2010
(U~I JO) The Joint Audit Working Group (JA WG) sponsored pnsentations on fraud auditing ~ ~ of forensics in auditing; coordinated current and future work plans; and met with and discussed audit support to key JC leaders, including officials from the Business Transformation Office, the Assistant Director of National Intelligence/Chief Financial Officer (ADNl/CFO), and the IC Chief Information Officer (IC CIO). The JA WG also established a subgroup comprised of members from I 0 agencies to focus on bow the bIG community can share resources, perfonn audita, and best assist their agencies in accmnplishing cybcrsecurityrclatcd 1D1Ddatcs.
~ The OIG Audit Division serves as the JG representative oo-chair on the CFO/IG Council. The Council is comprised of the Central hitelligcnce Agency (CIA), Defense Intelligence Agency (DIA), National Gcospatial-Intclligence Agency (NGA), National Reconnaissance Office (NRO), National Security Agerx;y (NSA), and ODNI CFO and JG representatives. The Council is responsible for: 1) monitoring the IC implementation of the Financial Statement Auditability Plan; 2) providing assistance to the components on the . resolution of IC-wide challenges; and 3) developing and executing an IC audit validation strategy. As the co-chair of the CFO/IG Council, the OIG led the quarterly council meeting that resulted in an IC JG position on OIGs' responsibilities for financial statement validation and audit work.
/
~UO) The Audit Division also assumed the responsibility Connerly performed by the IC C~O~. provide guidance, and consolidate the annual Federal Information Security Management Act (FISMA) reports for 10 IC agencies or departmental components.
(U) Second Aanual IC laspecton Genenl Awards Ceremony
(U) On 22 June 2010, Vice Admiral Robert B. Murrett, United States Navy, Director of NGA, hosted tJ;ic Second Annual IC Inspectors General Awards Ceremony. The ceremony recognized personnel from OIGs throughout the IC who made extraordinary contributions in 2009 to the mission and objectives of the OIGs and the National Intelligence Strategy. Honorees were presented awards in the following categories:
• Leadership Award • Lifetime Achievement Award • Collaboration Award • Audit Award • Inspections Award • Investigations Award
(U) Vice Admiral Robert B. Murrett was the keynote speaker for the awards ceremony. Admiral Murrctt expressed his thanks to the JG community for ~sisting all IC personnel in maintaining the highest standards of management. resource allocation, and accountability. Admiral Murrett highlighted the IC IG community lcadcrsbip mid collaboration, which enables
4 ODNI Office of the Inspector General
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cross-agency projects and fulfillment ofIC-wide objectives. He stressed bow vital OIG work is to maintaining the. public trust. incn:asing accountability, and improving mis5ion performance.
(U) Lifetime Achievement Awards were presented to LeRoy E. Elfmann, who was recognized for more than 36 years of service to the DIA OIG, and Brian R. McAndrew, who provided <>Ver 35 years of service to the NSA OIG. The Leadership A ward was presented to Robert A. Vignola for his outstanding service and leadership as a Deputy Inspector General and manager in the NRO OIG.
(U) ODNI Inspector General Roslyn A. Mu.er and other IC IGs presented the Collaboration Award to individuals in four OIGs -CIA. NSA, Department of Defense (DoD), and ODNI -who worked jointly to complete a comprehensive review of the President's Surveillance Program, as required by Title Ill of the Foreign Intelligence Surveillance Act (FISA) Amendments Act of 2008. 1bc IC IGa also presented Audit Awards to the Financial Management Audit Team at the NRO and to the CIA Audit Team for its work on a Covert Action Program. The Inspections Award wu presented to the NGA OIG's Office of Global Navigation Inspection Team. The Investigations Award was presented to an NSA investigation team in recognition of its work on a case involving alleged improprieties at the NSA/Ccntral Security Service Georgia.
(U) The IC IG awards program is part of the National Intelligence Professional Awards Program that the ODNI established in 2007.
(U) 1~ Annual IC In1pecton General Conference
(U) The ODNI OIG hosted the 16111 Annual IC Inspectors General Conference on 18 May 20 l O at the Jimmie D. Hill Conference Center at the NRO. Over 280 OIG personnel from across the IC IG Community attended the conference.
(U) The conference theme was Intcllipnce Reform Fi(ve Years Later. The objectives of the conference were to discuss how the IC IG community views the IC's progress in meeting the objectives atablishcd in the Intelligence Refonn and Terrorism Prevention Act of2004 (IRTPA). The conference afforded participants an opportunity to hear perspectives from distinguished IC leaders, other OIG experts, and congressional intelligence oversight committee staff.· ·
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c--=-----(U} lntelllaence Oveniaht Actlvides
(U) This report marb the second year that Executive Order 13462 has governed OIG .intelligence oversight activities. The Executive Order elevated accountability for intelligence oversight reporting to the heads of departments and agencies and incorporated a more timely method for reporting significant and highly seositive intelligence oversight matters from IC components to the Pmlident's Intelligence Oversight Board (108). Under the Executive Order, the DNI has responsibility to analyze IC component intelligence oversight reporting submitted to the 108. This responsibility is carried out jointly by the ODNI OIG and the ODNI Office of the General Counsel (OGC). The Executive Order also requires the DNI to review IC agencies' internal guidelines governing reporting to the 108 to assess their consistency with section l.6(c) of Executive Onler 12333, as amended. This review has also beenjoindy initiated by the ODNI OIG and ODNI OGC.
(U) The OIG also participates as a member of the joint ODNI and Department of Justice oversight team that conducts periodic reviews to assess IC compliance with procedures and guidelines issued pursuant to Section 702 of the Foreign Intelligence Surveillance Act (FISA). SO U.S.C. §1801 et seq., as uncoded by the FISA Amendments Act of2008, SO U.S.C. §l88la The results of these compliance reviews are summari7.cd by the DNI and the Attorney General in joint semiannual reports submitted to the SSCI, HPSCI, Senate Judiciary Committee, House Judiciary Committee, and the Foreign Intelligence·Surveillance Court.
m. (U) Completed Projects
(U} ln1pection1
(U) Stata1 Update on tile lmplaaentatlon oflC OIC.' Watcbllatin1 Recommendadoa1
(U~O) In response to the attempted bombing of Northwest Airlines Flight 253 on 25 December 2009, the OIG 1111Veycd the IC OIGs that putjcipated in the 2008 IC-Wide Review of the Terrorist Watchlist Nomination Process to assess the implementation status of the recommendations from that review. The 2008 review, which was led by the ODNI OIG and involved the CIA, Department of Homeland Security, DIA, Department of Justice, Department of Energy, Department of State, and NSA OIGs, focused on whether: ·
1. Processes and standards for nominating individuals to the consolidated watchlist were consistent, articulated in °i>olicy or other guidance, and understood by nominators;
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2. Quality rontrol processes were in place to ensure that nominations were accurate, understandable, updated with new information, and included all individuals who should be placed on the watchlist based on infonnation available to the agencies;
3. Responsibility for terrorist watchlist nomination was clear, effective, and understood;
4. Nominaton received adequate trainins, guidance, or infonnation on the nominations process;
S. Agencies maintained records of their nominations, including the source of the nomination and what infonnation was provided with the nomination; and
6. Collection orpni7.8tions appropriately participated in the nomination process.
~UO) The ODNI OIG reviewed the implementation status of the recommendations. made in this report, as well as all other watchlisting-related recommendations made by these IGs previous to this report. As of January 2010, agencies had closed approximately 700.4 of aU 010 watchlisting recommendations. The Federal Bureau of Investigation (FBI) closed approxnn.tely half of its open recommendations, and the remaining IC agencies implemented approximately 85% of their respective recommendations.
(U) The table below (Figure 3) lists the statua oflC OIO recommendations as of Jutuary 20 I 0. As a result of the joint IC IG reviews of the terrorist watchlisting nomination process, more agenoies now are directly participating in the nomination process.
(UJ/POUO) Jl'lpn 3: Statu of IC OIG W•tdd""91R.ecomllleDdlld (2007-2009)
Watchliatlng Recommendations from the IC OIGa · (2007-2009)
2 2 0
• 5 0
2 2 0
• • 3
Ml • • . '~ . :.: . .::·~l:; ' 2 2
• • 3 3 0
T ... a .. 14
nil T•ble II U/1F9UO
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NIA
NIA
3 2 0 NIA
0
0 NIA
0 NIA
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(V)Audlta
(U) A•dlt of lateraaJ C.oatrols over Tiie ODNJ•s had Balaaee wltll T...._ry (FBWT)
~UO) The ODNI 010 initiated an audit of internal controls over the ODNl's FBWT in April 2009. The audit objective was to evaluate the adequacy and effectiveness of internal controls as they relate to the ODNI's FBWT. Specifically. the audit's purpOse was to ensure that policies and procedures are in place to perfonn reconciliations of the FBWT account on a periodic and recurring: basis.
- -~] ----~--~rrhe FBWT account plays a critical role
in an agency's financial statement auditability .
• We found that since the ODNI's inception -in April 2oos. it had not complied with statutory requirements under the Federal-Managen' Financial Integrity Act (FMFIA} to perfonn annual assessmenll and reported on its systems ()f intemal accountin_2 ... and ___ _
- administrative con~ls. !!!. additio~
L_ ---. ~F) The 010 made five recommendatio-ns__ to :yrove intema.l_contmls over the
ODNI's ~WT account These included recommCJ:ldations
L -----~~----- ---------------······------ -------
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ODNJ Office of 1he Inspector General
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s~ · Semiannual Report 1January2010- JO June 2010
(U) 1Dcreuln1 the Value of the IC Federal Information Security Muapmemt (FISMA) Act Reports
~) The ODNI OIG initiated this evaluation to examine issues identified during the OIG's FY 2009 FISMA evaluation of the ODNI. During the FY 2009 FISMA review, we noted FISMA-related issues that were beyond the scope of the OIG's FISMA evaluation and therefore not appropriate for inclusion in the FY 2009 FISMA report. These issues included the following: 1) the consequences of delayed m:eipt of the Office of Management and Budget's (OMB) annual FISMA reporting requirements, 2) the inability oflC agencies to use OMB's new unclassified database for annual FISMA reporting, and 3) the lack of a standard definition of an "infonnation system." This evaluation examined those broader issues.
{D77Peuo) The review identified the following issues that affect the ability of the ODNI and other IC elements to provide timely, comprehensive, and meaningful FISMA reports:
I. (U) The timing ofOMB's annual FISMA reporting instructions to IC agencies limits the agencies' ability to provide thorough and meaningful reports and consequently limits FISMA 's value as a tool to ensure the effectiveness of security controls over IC information.
2. (U) IC agencies are unable to enter claasified data into OMB's new unclassified FISMA databue for annual reporting purposes, thus requiring the IC CIO to establish another method for agencies to use to report IC FISMA data for FY 2010 and future years.
3. (Wniai10) The IC 1acka a clear definition for an "information system," which creates ~~~es in FISMA reporting among IC agencies and in tum diminishes the thoroughness, reliability, comparability, and value of these reports.
~Our report contained four recommendations to the IC CIO that, when fully implemented, will increase the value of the IC agencies' annual FISMA reports submitted to OMB and Congress and will improve accountability over information system security. The IC CIO concurred with all four n:commendations and bas taken steps during the comse of the audit to address the findings. For example, the IC Information Assurance (ICIA) office within the IC CIO has been examining alternatives in light Of OMB's changes in FISMA reporting policies and methodologies. Additionally, the ICIA office established the FISMA and Metrics workina group to address FY 2010 rcportina challenges, develop community recommendations for the IC CIO on FY 2010 FISMA annual reporting process. and address other FISMA-related challenges. The ICIA office stated that once OMB's FY 2010 FISMA instructions are finalized, they will advise OMB of the IC CIO's decision pertaining to instructions that will be used by the IC for the FY 2010 FISMA review.
~On 10 March 2010, the ODNI IG sent a letter to OMB on behalf of and with the support of the IC OIGs and the IC CIO to identify issues that diminish the ability of the IC OIGs to perfonn meaningful FISMA reviews. The letter outlined the two major challenges
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ODNl Office of the Inspector Gener~
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for IC agencies in performing and reporting OD their annml FISMA reviews: 1) increasingly compressed timefnunes for completion of FISMA reviews due to OMB delays in issuing FISMA instructions, and 2) the unclassified nature of OMB's new da!abue for annual FISMA reporting requiremenll that precludes its use by the IC agencies. Although OMB bas not yet responded to the letter formally, at the request of the ODNI 010, OMB officials agn=cd to pc:nnit IC OIOs to initiate their FISMA .reviews using draft FY 2010 metrics.
(U) Investlpdon1
~ During this reporting period,, the OIG conducted 21 investigations on a variety of alleptiom including misuse of position, improper use of government~ eontract irregularities, time and attendance abuse, voucher fraud. and inappropriate condw::L
(U) AUeaed Time aadAttmduce Fraucl by Former Coatndon to ODNI
(U) The OIG investigated allegations that employees of a government contnK:tor billed the government more than S 100,000 for work they did not perfonn. The 010 eomplctcd an investiption and analysis of estinmted loss to the govemmcnt,. and the government contractor has made fidl restibltion to the government.
(U) Use of S•bpoeaa Aatllorlty
~0) During this reporting period. the OIG did Dot exercise aubpocna authority under~~ -7(a;}t4) ofODNI Instruction 2005-10.
IV. (U) Ongoing Projects and Activities
(U) Iaapeedon1 ud Reviews
(U) Evaluadoa of tbe Preidd•t'• Dally Brlefla1 (PDB): Sources, Raources, Procellel, and Outcomes
~The DNI relies OD the PDB to provide the President and his senior advisors with a bueline of intelligence to inform their perspective on world eveo.15, potential threats, and . the capabilities and intentions of our advmaries. The 010 is evaluating the sources, resounx:s, and processes used to develop the PDB and is assessing the incentives and disincentives for agency participation in producing the PDB. To date, the OIG bu interviewed 17 PDB principals to evaluate the overall utility and effi:ctiveneu of PDB products and services.
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SECRET~RN
Semiannual Report 1January2010- 30June 2010
(U) Review of Ole Stat111 of lntep'ation of Ole IC'• Departmental ud Service Elements
(U) Recent OIG reviews indicate that many senior rq>rCSCDtatives from the IC's Departmental and Service elements believe their elements' missions and capabilities arc not known, not understood, or not fully leveraged by the ODNI and other IC elements. The OIG is conducting a review to identify the unique roles, capabilities, expertise, and functions of the Departmental and Service elements; identify any barriers to their integration; and detenninc bow these elements can be more effectively leveraged and integrated in the IC.
(U) Evalaadoa of tbe Admballtration ud Muapment of ODNI Core Coatncton Sapport1a1 Critical Mlaloa1
(U) As a resuh of interest expressed by the DNI and Congras, the ODNI OIG is conducting an evaluation of ODNI administration and management of core contractors supporting critical missions. The objectives of the evaluation arc to assess the risks associated with the administration and management of core contracts; review ODNI initiatives to improve the administration and management of contracts; consolidate and synthesize similar agency-level evaluations of contractor resource strategies; and identify systemic or.recurring problems, trends, and best prlCtices, including risk mitigation measures.
(U) IC-Wide Aeqwllidoa Ovenlpt: Stnteafa, PoHda, ud Pl'OCellel
(U) In May 2009, the ODNI OIG inspected the ODNI acquisition ovel'ligbt strategies, policies, and processes. The report contained recommendations to provide for more effective stewardship of major investments through total acquisition lifecycle management. The DNI endorsed the ~recommendations, and the ODNI is making significant progress towards implementation.
(U) To leverage the findings of this report, the OIG requested through the IC JG Fonun that other IC OIGs conduct similar organiz.ational reviews. The OIG is coordinating with the OIGs of the NG.A, NRO, DI.A, and NSA to review their respective agencies' acquisition practices. The OIG will analyze and, if appropriate, integrate the collective findings and recommendations requiring DNI action into a summary report for the DNI.
(U) Audits
(U) FY 2010 Federal laformatioa Security Mauaemeat Ad (FISMA) Evaluation
(U) FISMA requires agencies to conduct an annual independent evaluation of information security programs and practices. The evaluation includes testing the effectiveness of information security policies, procedures, and practices of a subset of agency systems. The OIG is performing the FY 2010 FISMA evaluation of the ODNI's information security programs and practices.
II ODNI Office of 1he Inspector General
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SE~ Semiannual Report 1Ja11uary2010- 30June'2010
(U) FISMA Capltoae Report
(U) FISMA mpaircs OIGs to perfonn independent evaluations of the information security programs and practices of federal agencies in order lO provide an independent asscument from the agency CIOs' uscsaments. Through FY 2009, the IC CIO uswned the responsibility for comolidating the IC agencies' FISMA reports - including OIG reports - largely because the ODNI 010 was not sufficiently staffed lO assume the responsibility. Effective FY 2010, the· ODNI OIG is usuming responsibility for IC OIG reports and will prepare a capstone report that will be submitted to OMB and congressional oversight committees.
(U) AacUt oftbe DNI'• Monitoring and Coordhaadoa oftlae Comprebenllve Natloul Cybenecarity Jllftladve (CNCI) '
(~O) The President bas identified cybersecurity as a top priority for U.S. nation81 security. National Security Presidential DiRctive 54/Homeland.Sccurity Presidc:ntial DiRctive 23 (NSPD 54/HPSD 23),jointly known as the CNCI, instructs the DNI, as the head of the IC and consistent with Section 1018 oflRTPA, to implement the policies and initiatives of the CNCI within and throughout 1hc IC. Through the DNI's statuk>ry budget. tasking, and intelligence information sharing authorities, the DNI is cluuJed with ensuring the appropriate rcsoun:e allocation and integration of all cybenecurity efforts and initiatives.
[The 010 is evaluating the effectiveness of the ODNJ's jmnlcmcntatioo of,r-t . --·- The OIG is assessing whether the ODN£ - - - - - - - -(b )( 1)
establiihCd the poliCics and procedures, roles and responsibilities, and governance structures (b )(3) necessary to effectively monitor and ·coordinate CNCI implemcn~on. The 010 also is examining whether there arc gaps or additional measures that should be addressed from a CNCI or ODNJ perspective.
(U) Invat1&atlon1
~)The OIG continues to receive allcptiona of wrongdoins from within the ODNI and the IC, including alleged procurement fraud, contract fraud, ethics violations, labor miscbarging, and time and attcndanc:c fraud.
~) In the course of its investigations, the OIG may identify systemic weaknesses in ODNI processes and procedures. In such cases. the OIG makes immediate referrals to ODNI management so that management can take action to address the identified issues. During this reporting period, the OIG made recommendations for improvement of the contract management practices of an ODNI component and bas worked with the component, as appropriate, to ensure implementation of the recommendations.
12 -------- . . ODNJ Office of the Inspector General
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' SE~RN
Semiannual Report l January 2010- 30 June 2010
(01iFOUO) Select cases representing the breadth of ongoing investigations are highlighted below.
(lJ) AUepd Coatnct1a1 lllld Adaalalltntl\'e Mllcoadaet by u ODNI Oftldal
(U) The OIG is investipting allegations that the director of an ODNI component committed administrative misconduct and numerous contracting violations. This matter has been briefed to the Director of the Intelligence Staff and senior ODNI management and bas resulted in significant action to address the OIG"s preliminmy findings.
(lJ) AIJeaed Uaaatltorlzed Poaealon of a Firearm at Work
(U) The OIG is investipting allegations that ODNI employees erroneously were issued credentials to cany a firearm as part of their employment The ODNI has recovered all of these credentials. and the OIG is investipting why these credentials were issued.
(lJ) Alleged Voadler Fraad by a Senior IC OfBdal
(U) The OIG is investipting allegations that a senior IC off1eial committed voucher fraud by submitting several ttavel vouchen containing queationable reimbursement expensei.
(lJ) OIG 011-LIDe Complalat latake System
(Ul7fQ,UO) The ODNI OIG manages a complaint intake channel that allows IC penonnel to file complaints on topics ranging fi'om ethics violations to "urgent concerns" handled under the Intelligence Community Wbistleblower Protection Act. During this reporting period, the OIG intake channel received nine complaints. which included allegations of the misuse of government funds. unfair hiring practices, conflicts of interest, harassment or reprisals involving contractors. and misleading of Congress regarding an intelligence capability. The ODNI OIG has investigated each of these cases or referred them for follow up to the appropriate IC investigative component
V. (U) Congressional Engagements
(U) During this n:porting period, the OIG engaged with Members and congressional staffen on a wide variety of issues. In Man::h 2010, the Inspector General briefed.recent OIG reports to the Members of the HPSCI Subcommittee on Intelligence Community Management Members were most intcrelted in the OIG's November 2009 IC Maoagc:mcnt Challenges report, which SUJDlll8rimi the most critical IC and ODNI management challenges based on IC OIGs' reports conducted over the past year.
13
ODNl Office oftlie Inspector General
SE~
--------------------------------------~-
S~T"nORN (b)(1) .... ~.,. .. , ~ "· (b)(3)
Semiann,,al Report I Ja1111ary 2010- JOJu11e 2010
(Utli:&uo) With regard to Information Sharing and Information SecuritY. the~ General referenced the OIG's 2008 Terrorist Watchlisting report, which summarized the reports on terrorist watchlisting by eight other IC OIGs. In the Human Capital area, the Inspector General summarized the findings of the OIG's Joint Duty report, noting that the program enjoys strong support, but stronger leadership advocacy and a _strong corporate communications policy would improve the program.
(U~O) In February 2010, Deputy Inspector General Scott S. Dahl briefed staff from the House Appropriations Committee Subcommittee on Defense (HAC-D) on the OIG's 2009 IC .Management Challenges report. the OIG's FBWT report, and the OIG's semiannual report for the period 1 July - 31 December 2009. He explained the progression of the Management Challenges report and how the OIG is in a much better reporting posture than in yean past Mr. Dahl highlighted that the FBWT report provided a finn foundation for the ODNI to begin addressing the organimtion's financial management problems. Finally, Mr. Dahl provided an overview of the draft OIG WOik Plan for 2010-2011.
(U) In early April, Mr. Dahl briefed SSCI staffers on the FY 2010-2011 OIG Work Plan and answered questions related to the OIG's 2009 IC Management Challenges report and the 1 July - 31 December 2009 OIG semiannual report He also responded to specific questions on the IC's current management challenges, including financial auditability, cybersecurity, and information sharing.
VI. (U) Status of OIG Recommendations for Completed Reports
(U) The implementation status of 010 m:ommendations made in reports completed since 2007 is noted in Appendix A. lilted by RpOrt in the order in ~hich the reports were issued. Recommendations are .. cloaed" if they have been fully implemented (designated in green); "resolved" if the ODNI bu taken significant steps to implement them so that the OIG believes they will be fully implemented, but they are not yet entirely closed (designated in yellow); and "open" if they have not been implemented and substantial steps have not been taken yet towards implementation (no color designation).
(U) 1be OIG and ODNI management have instituted a process to ensure timely and effective impJementati~ of OIG recommendations. AB a result, a significant nwnber of
14 ODNI Office ~f the Inspector General
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SE~OFORN Semiannual Report 1January1010- 30 June 2010
recommendations have been closed or resolved. Specifically, 67 percent of the recommendations in the repons listed below ~closed, 29 percent ~ resolved, and 4 percent remain open.
(U) In the past 6 months, 21 recommendations have been closed., and the ODNI bas made substantial progress in resolving I 0 others. During this reporting period, the ODNI promulgated guidance for the development and validation of capability requirements for IC Major System Acquisitions (MSAs) in response to recommendations in our 2009 report on acquisition oversight. This new process, if effectively enforced, will substantially reduce risks of "requirements creep" and cost ovemms on the IC's most expensive and important investments over the years to come. The ODNI staff clements also established well-defined roles and responsibilities for the governance of these MSAs. The agreement among the staff elements addresses the OIG recommendation requiring the ODNI acquisition oversight workforce to ensure comprehensive lifecycle management in the acquisition oversight domain, providing Congress with metrics on the achieved performance of MSAs u pan of the Annual Program Management Plan Report.
(U) The IC Chief Human Capital Office (CHOO) implemented several important recommendations from the OIG's Joint Duty report, including: a) establishing and implementing a comprehensive communications strategy, and b) finalizing and distributing a "Memorandum of Understanding" to the IC to standardize Joint Duty Program terminology and processes. The development of a comprehensive communications plan is significant because it clarifies the purpose of the IC Civilian Joint Duty program and builds support, incrascd interest, and· participation in the program. Likewise, the development of~ terminology in Joint Duty policy, guidance, and application fonna reduces confusion concerning Joint Duty information and processes.
(U~O) The ODNI Comptroller and Director of~tb~e~O~D~NI~MS=C~~· ~,,.__,,,,,,,,._...."-'"--, I siJ!lifirant- from .... OIG'• FBW'f -1
I I Such reviews are essential to achieve accountability for programs and funding by systematically and proactivcly identifying operational and financial control wcakncsacs and by taking corrective actions.
15
ODNI Office of the Inspector Ge11eral
SEC~~
(b)(1) (b)(3)
(b)(3)
Appendix
Semiannulll Report I January 2010- JO June 2010
(U) Appendix A: Status of ODNI OIG Recommendations Made Between 2007 and 20 IO
This Table 11 S~~FORN
a. (iJJIPeuo) Appoilll a -iar ODNf olllcial n:portins dinldl)' ID Ille DNI cr l'rincipml DlpulJ DNI (PDDNI). with Iha audlarity and dulJ ID .......... policla ud proallba an ialdli,..ee dillcmimliclll and aa:aa.
d. (U) e..blilhand ~!pie IC~~• ...- fur Iha di~ of IClllltloc 1Ncll..-c n:portins lo - that cullomDI" ,....;,_.. - booer --
DNI
I J1n:2001
DNI
IJIN2007
DNI
I Junc2007
DONVPPRi...I
ICCIO
A-I
(Ul\poo)CLOSED. PalCD 101,dle DDNllPPR bu die Nhclrity ID ..-ulptc IC Policy Ouidancc.
(l]111iOUO) CLOSED. Tiie IC CIO 'been appoinll:d the IC lnfCinmlion Sharina Eaa:ulivc.
~CLOSED.
(U) RESOLVED. By iuuing ICD 501, ICPG SO I.I, and SOl.2. the ODNI lllU implcnallal IOlllC ofdlil rccolllml:lldllDoa by Cllllhlillhinl -IC policiel and procalurca for the dill:O\'CIY 11111 cli-mn.tion or rctrievlll of ~ti¥C iall:lligaicc and by ctt:atin1 Sc:lllilivc Ri:vicw Boudl (SRB) ID od._ l'CIOlulion and ID "lllke praac:lioc - ID help cnoun: information i• n...te avai18blc ID llUlhori7zd IC penannel'' (!CD SO I, G.3.a.).
~)Howe-. dac ...... clo nol f;.i~ .dmaa lhe pmt of the 1a:oma!Cftdalion n:llllin1 ID -Uli¥C =-..:b""-J
ODNJ Office of the Inspector General
SEC~NOFORN I
(b)(3)
SE~ORN Semiannual Report I Ja11uary 2010- JO June 2010
(U) Appendix A: Status ofODNI 010 Recommendations Made Between 2007 and 2010
Tbi1Table11 S~~FORN
b. ~ AjlpoiDI a -ior ODNI official tqlClllina cinctly ID !be DNI 0t POONI, widl !he audlarity 11111 duly to ...... ..- far -nan. i..,lcmcalaliali of ... policia and pnllllrldurw by Ille aaaiciea.
c. (Ul'\oum Appoint a 1a1ior ODNI ofliciaJ ICJllldinl ~ ~ DNJ 0t POONI, will! lhe authartty and duly ID Cllllbliah I..- t'or MjHdialiaa of dl.-.inMlon ........
d. (U) Ellablilh and promulpic IC .a.ndanll and • proc:au far lhc~ oflallilivc inlOllipia
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(l)m!OUO) CLOSED. 'Ille IC CIO 'Ml appoinlm the IC lnt'ornmion Sharina Executive.
(U/IFOUO) CLOSED.
(U)RESOLVED. ByiuuinglCD501, ICPG 501.1,and'°l.2, lhcODNI has i...,lcmcallod IOn>C of thil 1ccommcndalion by cablbliahinl co-IC policiCI and procedula far die di-cry and d~ or rcsieval al ICllSitiw inlelli.-X: and by crmting Selllitiw llcvicw ~ (SRB) ID O¥CllOC
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lkxx>> Howavcr. dac 1tandanla do not fw~ .d.t.as the part of the nx:ommcNMion n:latins to lal&itiw
=-~
ODNJ Office of the Inspector General
SECR~NOFORN I
(b)(1) (b)(3)
(b)(3)
SE~/~RN Semiannual Report 1January2010- JO June 2010
(U) Appendix A: Status ofODNI OIG Recomm.cndations Made Between 2007 and 2010
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(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
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A·J ODNJ Office of the Inspector General
SE~FORN
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SE~~ Semiannual Report 1 January 20}()- 30 Jime 2010
(U) Appendix A: Status of ODNI OIG Recommendations Made Between 2007 and 201 O
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~/ /NC ODNJ Office ~f the Inspector General
SB \FORJl
SEC~OFORN Semiannual Reporl 1January2010- JO June 2010
(li) Appendix A: Status of.ODNI OIG Recominendations Made Between 2007 and 20 I 0
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SECRET//NQ.FORN
~) USOLVED. 11111 JCCJO it In t11e ..-orm.i-m.thil womdllim. ~canbe clwcd 1411J11 receipt of copy of the oflicW -..i1y pn111W1L OIG will canfinn dwiag FY 2010 FISMA Review.
~) 111'.SOLVl:D. IC CIO hu ..iililW 1111'-. s,- in-n. - flnalmct. IC CIO pablilbal a lafommion Soasily Slnlqy OD 6 Fell 09. ~-becloMd ..... na:ipl oldie omNI -sic pi- -....,_. OIO wiD -firm dmia1 FY 2010 FISMA RaYicw.
0
SECRE~/~ Semiannual Report I January 2010-JOJuire 2010
(U) Appendix A: Status of ODNI OIG Recommendations Made Between 2007 and 20 I 0
I~ 1 ' • 1 111 r 11 \ 11 I 1 ! 1 .. r l
. Id. (U) CK> to -itlllll mi.__ a cmnplcliaa of-.C infannlliaa ~ lllatqic ,.__
2L (U) CIO ill_,..._ with Dn>MS ID-.Jililll a ....., to idllllify-.C iavalDry ar.,.._ lhll _ ODNJ iapcmilrility ........... 1111 IC-widr: iapomibility ..t Clllllllilll a~ filr-.ilction al rmdnllp.
311. (U) rwDM5 ID ... lilb ---for IXllllplcliaa vf .. inbnllllan-ilJ ......-.
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CKWMSC
MSC
MSC
MSC
A-8
SB~~
cU1Jiteuo> IWIOLVD. Tiie IC CIO lnf'Clnllllion Security s-. ...... Wllllua Pim iii• ccllllCll'lllnlldir .. -m·an far NYilw by Ille ISDIC •of April lOIO.
~ Rwtcndlliancm heclmat upan nm.w vf plln lbll idcalift• milalanes.
~)CLOSED. For MSC dial Im -.,ice.i ill niadmap. ODNI OIG .-il..s 1111 m-ill dllriq-.C FY :zoo9 FISMA --... Howewr, thll mmim a !eplalivc nx:uniaa rcqui(44USC13505 (c) (I)) ror MSC llld die lCCIO.
cllmiouo> OPEN. For IC CIOllCES bacalme lhcy lave - yd pnMdecl ... iuadlnlp md hive - -.lllllbad a c1u1 ror ill completiaa.
(UI~) • •Mldltion cm he clmat ir in¥Cntorics cm1 be n:cGllCiled durill& 111c ODNI OI0°1 FY 2010 FISMA review.
(U)D.OIED.
(U)Q.OSl:D.
(U)CLOS&D.
ODNI Office of the Inspector General
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SBCRET~FORN Semiannual Report I Ja11uary 2010- 30JU1ie 2010
=- ---------------------------------
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
I(, 'I" I'"'" l I 1, 111< 1111, ...... I ~ f I '
I ·' '" II Jq\\,lld'
J<1\1111lllll J d !lit 11 llill j) Ill I r 11 p I< I I I< I I I .I I I" II
f. (U) &pp the DD1•111 ...... lewell ill ardlr ID c ........ ..a-I illllsllifmcc -...111 die DD1 a ID 1111pi-t II+'+• i...i 11111 policy..,_
Nov.-cr 2008 (U) CLOIED.
dlnJuPoul the IC .
.. (U) F-..... 11m1izi11s die ODNr1 pldlllia inlp ....... EO llJJJ.
~2008 (U)CLOUD.
IL (U) Flmlbea .-,11mcriliml KDI, i.wi. ICD DDNJIPPR. (U)CLOIED. 101,ICD303,ICD306, ... ICD501 ·M~ID-
Nowmllcr 200I Dillll i•laaaflllllll...._.
(U')n:-= RESOLVED. OIO end Ille
i. (UJ~) Dc¥Clapa bnl ODNI ,..- fardmdy DIS a pr-. for ODNl ID iapoad
DIS IDOIO~ inalimdy ...,.,.....1DOIG1-1a1 '9f-llldfora.:kila
-· 010 nl lhe DIS wiD OlllllillllC ID impla..-.. oraecoa-*iol1111111 aie llCICcpliDd by Ncmldlcr 2008 a.:klad-aopca1___.._ ......-. mlllcr dlil pnxlCll 1111111 IUdl lils • dlia
..--•~
j. (Ulnieuo) Appoima..-ODNI ollicial ~ ~)a.C>RD.16.i.109--~-....._ .......... .._. lllllrild DDNl·PPR will 1llC ...... 'lnldllical' ....... .. ..... (thalc ilcl..t
N~200I .__lm!!!llilri1llY ---~ ._cn!t•i~Oll ~ ..tMi-andwlwiLr-"'"" Mmm dilSll 111111 tbil ... be ..... aplicit ia Iba llClll upllllll ID die PPll lolea and ...,.alilia
k. (U~ ... die IUdillllllit)'....,. widl .....
(U/~ RESOLVED. Tiie FIO (-FMO) _._ID monitllr ....... '
CIO, BTO, CFO proaiaain --acmenr_..md tcy ... for adllcYml lllllilllbllity i..d Oil ........ -(FBWT, IOT, and PPAE). m-w .,..C......i ICBT inilimliw:amd ,,_.... Nowmblr 200I ~-bcclaMlupon ......_ _. llUllilallility. naipl or 111 FMO aaditmbilily 11rMC1Y wilb
..... dala.
A-10
ODNI Office of the Inspector General
'SECRE~ORN .
.I
(b )( 1) (b)(3)
SECRE~O~RN Semiannuttl Report 1January2010- 30June 2010
(U) Appendix A: Status of ODNI OIG Recommendatiooa Made Between 2007 and 2010
}~1, 1tflllt11 ll•~ 1t11 11
.. ('Ut'~ ~lllcflMllmdallllld 9-fll -u.s.,._n&Ml,~«pN-Fli-
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No-.llu 2008
PAO
Allpll2008
IC CIO; CFO; Pft
A-11
~llDOLVED. Cl'Obm draftcdaY-ml l•ootaWJt.t AuditlbitilJ ao-lor 1bc IC, wllidl will be ID1llllilllld to che SSCI widlin 4 _.. .... BTO.._..ils..._ EalcqlriN Atdi--.10 thi. SSCI. a-.icadlliaa cm be clOIOd ODCC
n.-ill P-•~providal ID Ille SSCI .
(U) a.mu. 1'1edcsllld ................ Ill • .,... .. ................... .......... '11llNln, lllc ICCIO m l.-lllc ....... cktlallilm jllll lor 111111 ic-...----........-(IC ... DaD). (U)lD ___ npon.......,. ... f•lwof•~C-*1'6 F"*""1 ,,.,,_,.. s.:wt4J' "-lll'••r Alli (1'ISNA) /ltqlontl, - ..,. ,_....,... ._..., ICCIOclewctup ....--r.111111e..--dlll idlali&e. wlllll IM6alllm lllolald b9 mod for FY 2010 P1SMA. ftlrinll.. 1'hcmronl. we me dalialt dlill'llCI- t •mtlldlnaltUllder ---.......
ODNI Office of the lnspeclor General .
SECR~ORN
(b}(1) (b)(3)
(b)(1) (b)(3)
. SECR~/ /N~RN
Semiammal Reporl I January 201fJ- 30Ju11e'~) (U) Appendix A: Status oCODNI 010 Recommendations Made Between 2007 and 2010
I~, 1, 11111u11 Hd 1111111 1<.,, ... 1i;d•h I ltllilllll,1 .... ,,,,, l.1L111 IHl\,llth
ll111 ll 111 l111plt llll 111.111<•11
DDNUC
I I', - I' I t II• '' < >I I• \ < • >I I'- I , I• "' "\ I h ·I" 111 " I I· \I I ' , 11 ' \ 'tl I I< 11 ' 1 '-I l I 'I' 1 " I '"I '
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, I < 1 I I I I 1 I 1 J, I I > \ i' l 't >I \ I l J ~ I I) I '- I •
b. ~) Publilh IC policy no lalCT than 120 ~ alb Ii..-, idctlbfyinc • .,._ Mlldcl ror llR OONI AO ~form ftli.ive 1111111: IC *'4Uititlon COINIU!ily, indudina: A. ~ ICD I m accouN IOr cuncnl diltrillulioaa of lllllhorilicl nl decition rip. B. Slandantizinl lm:k o( official i.-r.cc and protacol ~ ODNI offkillll-1 IC COlllllctp&IU.
c_ a.if)-ing llluale of Ille PDDNI relatiw: IO lhe aidinod lllthoridtl at lhc DN1'1 Milcleane Docilion Alllhority (MDA) (DDNllFC). lhc DDNl1, lhc ADN1a. and DNI Policy for lhc IC.
c. (UI~) Doaimllnt lhc aiMinc ..-u litlk DONl/FC acquisiDml dcciliona with CFO fundin& decisiolll • lllter ..... 210 days .&:r 1ipwlwe. Pnwidc thc widat pmsibk disamiiiarion or the clocumnlf:d .,.._to CllN\': ~of lhcAO •tr.~ -of all opli11111 avmilable 10 uliliillll llnfina aulhorillel u a ~ inltturnCnt.
DDNllAT
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DIS; DDNVPPR;
P,DDNI Eaca.itivc SUilf
OelOtler 2009
DDNllAT,
ADNl/CFO,
ADNllSRA
hn.-ylOIO
A-12
(Uf)rOUO) On:N. In March, 2010. the ois1;:( Md aom11111111cated to the IC a memo cnlon:ina lhe lllcl dial Milcs!onc Dccition Alllharity llowl dlroulh lhc: POONI to lhc DDNl/A.tT. Thia ldlbaia part"c:"ofthil~
n\11:000) A-itin& PPR ~ldion of jC6' I rcviaion end ahcr n:laled policy doc:umcnll IO nMi:w whclher- in sumlllO)' COllllltuta. ~model. Al. of I J- 2010, 1CD I, pn:viouly in cbft Md coanlidllllion wil.h DNI Blair will ,_ tll10d to lJll reviled to llddraa in-mng DNI clclcplioM.
ODNJ Office of the Inspector General
SEC~/~RN
SECRE~~RN Semiannual Report 1January2010- JO June 2010
(U) Appendix A: Statua ofODNI OIG .Recommendatiom Made Between 2007 and 2010
l«,111111,11>1, I l1111l111"1 '-I•" I.ti"'' I• \\,11.J, P1 l"r111111 11d 1111111 1
i) 11 \ I) I I, I 1IIj'I1 11 I< 111.tII"11
cl. (U~) DDNlll'C dlln:a-irilily for IC ....., .. 1o ...... ftlidmled ....... - .......... pnnquililc ror MDA dcllpliGa, a pa _•!)Md 1111:11 ...... ID DDNVFC pi:rf'onmmcc ali;odiw:a m 181crlha 3'0da)w ............ AddilloMlly, ... die DDNJll'C ....... MDA Ill' 1 .,...-willloul • validllad niquiMnonll documcat, formal jlllliftCllion to lllo DNI lball be idealified ia u Acquiailion Decilian Munol•ldulll.
DDNllAT
M.,2010
AllNllSllA -DDNllAT
DDN1IPPll
~20.10
DDNllAT, CIO, 11111 OOC
<>*lier l009
'A-13
ODNI Office of the Inspector General
SBCR~FORN
~~) USOLVl:D. (Daldline for· illlplcinent8lio .... llCll bclal tadlod.) The DDNllAAT'1 parb-a objeclive1 llllw bclal --W ID iftchlde '-e- Y8lidlfed caplbi1lty llOedl _, ----prior lo ~MIS- Dlciliom Audlority.•
~) DDNllAT rtlqlalal-wldi OIG--• DNI waiwrollhil 1-•lilllllltioll for~ Adioa ror .:quililioa GvitiCll llllll IR: wdl uacllrwiiJ ............ clclivay. OfQ will cvaJum pn11R11ill2010 ID mmllc 8
clctllmiMliaa of CLOSED.
'
(UllP)... "') RDOLVD. TM IC CIO aod~ IC rT Prqpwil~ "'-on 4 Nov 09. HOMVcr, lhc OIG ii ._or...., c11111-... willlin the Offics ofti. IC CK> 1111 liirc md rctm IUfllcialll)' hinal pmmnl ID cffix:liwsl) _ lhcir _ ........... ..i .....
C10 encu1ion of Milclltanc Deciliaa Autbority for RAlUIEAD ii• -.m, .,._...
(U~) DDNl/AAT lilW lhc llnl QPR Ill bll'-la lhe IC C10 u lhc MDA in Docanbcr 2009. Raia-1 Propww .......... mdlhc ICCIO-= lltill dncklpiaa m ICD IOl.anplimnt Propmi .......,_.Plln.
(b)(2) (b)(5)
~NOFORN Semiannual Report 1January2010- 30 June 2010
(U) Appendix A: Status of ODNI OIG Recommendations Made Bctwec:n 2007 and 201 O
l\1' di llil 1111 tll1•lt l~l "l~ltll,Jld .. I It lilt llf 'I "It I'' I 1Lt 11 I 111\.ll tf...,
I. n'li.n. In) DDNl/FC 111111 DDMll'Pll to_... the ~;,-..,. .... ,so.,..ftlcr....._,willllbc following objectiwla:
A. Alip pie willl--' ....._ eie-: Palicy Cluiclanlz, Monilariaa.111111 Olrrec:lne Aclim.
B. Updalc ACCEA l......iiale Aaiam ID..._ ~action •• priority.
c. 1>1..--'d'oca quaJiralian-i mnillalion p1a.
j. ~OUO) ........... ,,_ ........ and...._ m-al IC..-,_,,,._ widl IC -iulailion policy - ~ diac:iplille lnalrdawnl 1111 lawdlln 120daya ... tipllft. AaoptionlhcDNI ->' willl ID Clllllidor ia ID Cllllllllilli ODNl rlalfliaiaan paeilialll • 1bc IC ..a-111 at• lbs --.S.. deployed ,_. poilll8 for ........ and lnlanmlian ~ tnlWllillcd rm. the ODNI llaffto., ....-:y.
I ) I I' I) 11' I 11 ii ii ( I I I\ 111 111 <I I I
DDNllAT .........,..2009
ADNllSllA DDNVAT
O::lober 2009
DDNllAAT
DDNllPPR,
ooc November 2009
DDNl/AT
Oclober 2009
A-14
SECRET//NOFORN
~) USOLVED. 11icOIO .-iwd a briefiq fiom DDNl/AAT lmdlrmp ....... how lbs A.t:T _.....a.aa. w~ ;rnp1anm...,. in ~•illl.-.Mi'-Aand poll·Miblane c adiYilica aeculed by CIO, CFO, m SRA. Thia 1U1U1awww illlim 'Will nae claae until Appendix F ID the A-1 PMP Report hal __.,.........,dlallbcSRA · .......... inwmllll)' la• lft-Rllllili• fDr al\ally ..... ...-.~anthe lldliewd ... __ ohdiw: IC MSAa.
~OUO) llDOLVED. 11ic -Natiliul lntclli.,..:c SlnlcD - llipal 18 A• 09 Uld included~ Olljm:tl¥e 7: In.,_ Acquilldaa, nepdDa .... .-111 mW .... ACCEA. DDNllAAT la in lbs..-or--, ic CGlllClll an ICPO IOl.l. Al or I J- 2010, 11111.--.A.t:ra ic ~
(U~) USOLVl'.D. SAE Staft" indwll:9 IC ...,cycaniplimlaoin ........ In die Amul PMP repon. 010 will verify lncluUon of IUdl inrom.dan in 1111: PMP lqlllll...a-.: a .......... ia inpllicc fDr the DDNllAAT to inran. lbc DNI and lbs Ki of ODN1 llafr nllllCOqtliance wilh IC Aaquililian Polic:ila beftn mmkiq a dllllmlinaliGD orCLOSED.
ODN/ Office of the Inspector General
S~//~RH .
Semiannual Report 1 January 2010- 30 June 2010
(U) Appendix A: Status of ODNI OIG Recommendations Made Between 2007 and 201 O
1.1. L, "·· c. ~) ti. IC CIO llld the Dinx:IDr of' MSC. willlin, liil -.,.-or *ii NPDft, llhould: I) Dewlap .......... _. ilwenealy or._.; llld b) Ddcnnine the __.., or lhc 7 unidentified .,.._, c) MMe.,.._ .Wiciona, delclioaa, or adjllltmmla ID the. lntd&,mcc eo.-dty'1 (JC) R,.i.y in 1 limely -·
1.2. (UI~ The IC CIO llld ... DI!.- of MSC tllcluld-.:ils lhc ICCIO mid MSC.__ with lhc IC llcsi*Y. 81 a rnilli-. an a .,....ty lmia.
ODNJ Office of the Inspector General
ICCIO
oo.ISC
241M2010
ICCIO
D'MSC Oct2009
A-JS
SE~RN
~-·-)~•) ~vm l'orbadl MSC-.1 IC ctoncES. ne imcatm) rur badl ICES end MSC- ISOllCiled durina the FY 2009 FISMA review. U-, whalher ICES llld MSC ii llllc 11D naimain m ICCllllll ilwenealywiR-be delamined lllltil lhc aat FISMA l'CYiew.
(U~) Jblgi - Wm b) CLOSED r .. MSC llld IC CIOllCES "-owncnbip - raolwd in,... 2010.
~ "-mmcndlltion I .I L wl c - be d.-1afterFY2010 F1SMA review ifOIG ¥el'ifiea m-"* iavadoly.
~--) Rl:SOLV&D. Tllo IC a,,,,ry;a_li_to~llld -.:itc.,_.~ ~widlIC ........,. CIO worb ID --=118 my dia1 ; · • - nolif!Glllion of !heir oillmcl 111111eca 111wa1i11oaOOCF.s· 111a11i-. AJdlauab MSC llld ICl!S -rqlMdy review!·- n:vi•in& lhc inw:n&ary 1-. lhc OlG mall ta ....,,...,,_ dleir eft'orta.
(Ul""ifooe) ~can be ctc.d pcndi•OIG FY 2010 FISMA rniew.
SB~OFORN Semiannual Report 1Ja11uary2010- 30June 2010
(U) Appendix A: Status ofODNI OIG Rccommendatiooa Made Between 2007 and 2010
1'''"111111111<1 il1111 l{<'i'"'1'ild1 11,111,1111,1 '-l1J" l.il,111 !""·""'
3.0.a ..t b. (U/~) The JC CIO 11111 lllo Dnctor of MSC, widtin I iO ~of 11111 ..,n, lhDald: a) Prilnn _.-, &llllcm lllelY*ft911111c-iyi.vc-s, - dull U'C paer:r ...... ymr aid.; 11111 b) Pmrfann -i ICICUricy .. Oii .,_ wllll a piwaicm Ind ll'Cllla' dllln pnJleClion lnel I.
I) /\ I >.11 \ I 1111 >I\ 1111 II Li I I•' II
ICCIO
DJMSC
24J•2010
ICCIO
DJMSC
24Jul010
A-16
(U/~) llUOLVl:D far MSC. M of I April 2010, MSC ii woitint on ill -1J11m1 IO oblllin aci:mlitmicm wilb die IC CJo.llCAT.
~in) OPEN farCJO •Ille IC ao ..;~developed ill lhlllO or .-..ile for mdnc.iuw• and w:uedillliolll tllll will eomplJ willl NIST ~53. TllC ICCO ._ ...... dial it 1111 i...,rovod 11111 inlanal ..-11111 pmcabw for ec.uryu.11111 Mcrali1iq .,_.. md ... bepn die cfrorl 10 incorponlc-..-lllatwill _..,,)' widl die imp'e• n•ion a(NJST 800.53, Thlswlll-111.rllle~CAA
-----.... bcca claoclopal and ...,_a1 and • a11 pellincal af'ormllion ia updllal in die IC Rcgillry.
(U~)-----cubci:lulad .... nalpc oflllll ao· • ..,..t.dledale fore.A for.,.._..
~ Rl:SOLVEDfar MSC. MSC ....., ... i1i..~.n ..i,.. ~ mnbci:laml pcndina . ODNI 010 ~ duriDa Ille FY 2010 FISMAsmcw.
·ODNI Office of the Inspector General
SE~FORN
SBCR~RN Semiannual Report l January 2010- 30June 2010
(U) Appendix A: Status of ODNI 010 Recommendations Made Between 2007 and 20 l O
l~tl11111111111d1111111 1~(~1,1r1,1lill I ll111l11f(-., -.....1,p, I il.\11 l11\\.11d,
1111' I ) ti l I "11 ii l 111 \ .i I . ii I' I 11
ICQO
lANov2009
A-17
ODNI Office of the lns~ctor General ~----
SECRET/ ~ORN
(U""1ouo) OPEN fClr ._..........,a) for IC CIO bccl.- lhe IC CJOllCES 1w Diil ~ clnelaPod 8 OINiifiUL'ialliWI plm. ~-bedOlld-plan ii dellelopad md plus IN ISied.
(U~) UIOLVED for R-....miol• b) for the IC CIO. The IC CIO Im mablilhcd a fallover lite i1r the l'rllmry Opcnliaaml lite lllld wba'c • ...-. IP!ftl'illwM!y 1m or the CIOllCES paltfbllo lw '-miani1111 and -'. Rmldlliort cm be dllled .. CYidlllce of~ ofll:lllna-
(U\.,..."') USOLVED Rlr R~ c) for IC cro. Tiie 1c Clcw:ES aied dlu only- cunmt apcn&icmal 1ym1m1 Imm availllliliay lllina ol'llipmd all achas i.vc ._ _iped to • lower -..,, for availobility. Rec:awiMldlliou - be c .... pcacha ODNI OIO-i6c:Mlim durias die FY 2010 FISMANYiew.
tl~JO\ ---- dati111•a, b, ud c:. ;_-;·e:u:;sm Rlr MSC~ MSC ..... lnilallility rllliilp ID ila.,...... ai.blillled • OINllinpllCy llltina plu for - -·,_.old, a docs 11111 twv. ~ nllld u "biP,.
SE~/NOFORN Semiannual Report} Ja11uary 2010- 30June 2~
(U) Appendix A: Statua of ODNI OIG Recommendations Made Between 2007 and 2010
A-18
RDOLVED • ......... .... c: ll'C .-homl b-IC CIO. Tiit IC CIOllCES Im P'md ......,_ kdoc:lunallillc.JI POAMa. .._ dnUJpod a '**lllilllod ............ pnwidel .......... -•Ill POAMall!Y...,....._.,... dimlopasllld --..--... ilarporatedlMlditioml ~ lllCldll& for the ODlllpltticn of~ POAAMa. a- :lllMla cm lie clotod pcildial wilidllloli durins the ODNJ OIG FY 2010 FISMA nmcw.
~c:u:.ism.-----.. nl h areclllllecl lbr MSC dlat 1111 cmllil!lilhlld • tmif'orm writlal POAM ..-.
====-~~-,... .. 111 .... ..,. 2010.
~ 'O) REIOLVED fur IC CKMCES .;~lding~lhlt rncrct FDCC~llUt .__,_ wlidlledlll~~ cmiplcticm by 31 Dec 2010. llecoi.....,, _ llcc:laacd upon receipt of daci__.im af ¥111idlred
--~·
~ ODNJ Office of the Inspector Ge11eral
SECR\//NOFORN
c:=J--------------------------
SECR~/NOFbu
SemiannuC1/ Report 1January1010- 30 June 2010
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
1~, 'o111111\ 11<1If1•111 1{1 'i'"il'ildc I le Ill\ 1111, I "I' I" I .ii,, ll I"" .111h
11111 l>.1lc l111plC1ll\lll.lll"ll
6.2a,b,c. (UI~ The IC cro. willlin 120 daya of lhil rcpon, Mould: •) llcquft die lntcllitcnCC C-ity Eni.crprile Soluliona to adopt Md iftlplemcnt Federal Dclktop Can: Configuration 111Ddud conllguntimw 11111 doc...-de,,._ 11111 -.rity conlnll dcfia-iOI Oft
dcllilOpl dinlctly conaollal by ODNI; b) Require lhc lntclliFftCC C-lty Enterprise Solutionl 10 ~ Fcdcnl Dc*tap Con: Configuiuion ~ ICtlirlll into all Windows Xpni llld Via"' dCllrlOpl dinidly-mollcd by lhc ODNI.
7.0 .• ) Tbo JCCJOll!dlhl 0...ofMSC. widlin 90 dlys of dli1 n:pult, lllould clinelop • incidmt n:pol1ins policy.
l.la,b,c. n~ "') 1111 IC CIO 11111 the Dinll:lor of MSC, .nd.i~~ of'lhil rqlCllt. lbould: a) Dmip111e ..-1 who have lipifana apanlibililicl for itlf'ormllion -.rity; b) Dsvdap mi ODNI pilal nlninl prvpma ... pla ...., to provide the dai.....-i iia-1 witb ll'liaint ~with tbair rvla.
1.2. (Ul~UO) While---*insonaoi=iopc:nriom and anowi .. limc for llOlltncl lllOdilialionl, ClllUR: lhll eonlnll:tl ..,ec:ify tbal ..-1 who ha..: lipificanl rapo111ibiliticl fell' infantllllion -.urity promptly nx:cive 1111ini• ~ wilh their rolai.
ICCIO
MSC
24 Nov 2009
ICCIO
DIMSC
240ct2009
ICCIO
DIMSC 24 Sept 2009
ICCIO
DIMSC
A-19
ODNI Office of the Inspector General
SBC~RN
[,_____J ~'"""UO) U:SOLVW f« MSC liccaule ~n have ~loped a configuration rnanaFl'll'ftl policy for MSC. Rccommnllllion Clll be doled pcndin1 ODNI OIG FY 2010 FlSMA review.
~CLOSl:D. On 10Junc2010, ODNI IMued lmtnaion No. llS.01, "Compullr Security EVllllll lllld lnl:idems" tlla& add.- lhD illlelll o( the IUOINlitiKIMtiun.
(lJ) CLOSED.
~) 111".SOLVED for ICES. ICES 11111111 lhM it c:oncillUCI IO QPllin: and ask 1111ininc infonnalion ror- aad panmllll caiployus. In llddilian, ICES 11111Cd tbal connct pc!WXllld wilh lipiflQlll llCCUlily ro1ai (i.e. CAA 11all) 11re requcllCd ID have ..,.,..- ninillg prior to hinl; achar pciwn1d recci11e "'IJ'llar 11a1ni.a connctllllnll: willl du:ir rvlcl. Wkhin ICES lhe-.;ority of the ~I perfonninc li1111ifi~ rapon1ibilitiCI for infonMlion ICC:Urity an: c:onlnl*d thcn:fon:, wnu.:tual cha,.:s arc n:quircd to include the trainina and lnldt:ina of thmc pcnonncl.
(\JI~) Unlil the con-arc modified IO include that tninin1 n:quiraMnl, thi1 camo be doled. The CIO ll8led that it will look into cloina • COllbKI madification bccaulc the c:um:nt --mnain for lllOlhcrJ-
(b}(1} (b}(3}
SBCRET\oPORN Semiannual Report l Ja11uary 20 JO- 30 Ju11e 20 JO
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
I) I~{ '•P•lfl,ifdt I It lllt 111 1 -.. "'I( I'" I .1ld II I (1\\,tl "' \ l \ ! ol I j I l It I I 1 ! 1I11I11
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9.0. ~ ~ --0) 1'111ICCIO1M 1111 Dimalal' of MIC,
~= llf'lllil lllPlll\ "-Id - ---· 1www 1 ti 11 iD tk FY 200I OJO FISMA npart.
ICCIO DIM8C
241Cf12009
A-20
~)~c:mbcdo.d upon NCCipc or 4ocw1MllalicJn or a cantnct mudiflcllion IO.._.._ lhc ....._ta cm.
(U) CLOSED lilr MSC. MSC pnwMW a eapy ofi11 ~-.:I" lbmt un--.;ty lrlinias-
~)....~CLOHD.CRJ ilnplcmmdDd sor&r.'"McmilGrilll die l!ucutim or Flftll• • I Oct O!I.
~ ODNI Office of ~he lrispector General
SECRET/~RN
(b )( 1) (b )(3)
SES .... OFORN
IU::Smaual Report 1 January 2010- 30 June 2010
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
I. (U) W• 1--.1 ell.a IM Dilwwol'Nlliaul .llllelli,...(DNI) ..... wriam'-IDllle lllllllW-CC-87 (JC)..--.. .... llWll" Air .. pJa oflhl Joial Dul)' ........ ila callliDued
.... ·-· .............. idClllifW ill ICPG 601.01.
2.(U)W11ua w4MllllDNl.._IC.i.w 1111111ID_..,. ....... 1119IC1* Duly...,._ in ..... CllJlllialicn.
3. (U) We ft>COl1llllmll .._.die DNI bald IC m-bada __.. ....... Duty, ............... by incladi .. Joiat Duty ............ in lhcir _. paful11-...,..._.1md Pa...i Paliiiuwww
~
4. (U) W• iW&iiilllld ...... DNJ direct JC ca-a.a to 9111111illl poll.i.l ......... thi& pnl!IOllld Joilll Duty..... I bl N¥ilwed mdlP!lftMld lliy ...,.,,_. flnl-C¥cl ..,.W.Mll---lcwl -...
DNI
DNI
DNI
DNI; DIS; CHCO
A-21
ODNJ Office of the Inspector General ~1 Jt.:1ni
SE~-·~ORN
(U)a.os&D. DN1 ..--da181129 Jg 2010. .
(U) CLORD. DN1 lipld - dallld 211 J• 2010.
(U) UIOLVD. CffCO 11 ClDllGclintud -*"•dlla tiom clcmcnlaan compli-,md will COlllimae.., _.,, If 1 CHCOci-t ia--.lialit far 2 -.aw: q1111tm, !hen 01CO will illlDnn DIS f« ..... f8don ID be i-ponllld. l'"ua n:rpanins _. in JaalOIO. CHCOnaiwidlllOl&ol'thc Saiaed ljU9rla' rqionillg Oii 10 May md ii compllina data.
(U) CLOSED. DN1 liped-dllld 29 Jm2010 .
(U) CLOU:D.. CHCO '-clsified die pu1p1111orJoin&Dul)'inID~1111111 IC ad ill adlm-(c.g. ICOC).
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S~N~RN Semiannual Report 1 Ja11uary 2010- 30 Ju11e 2010 \
(U) Appendix A: Status ofODNI OIG Re.commendations Made Between 2007 and 2010
I I !{, '""11,ild1 I 1111111111,1 "'' P' I·"'' II I II\\ .111h
\I l "111111 < 111 .111<111 1>11t 1>.111 l111pl1 lllllll.1111111
16. (U) We -Id llud lhc ADNVCHOO dnelop Md lmpm- a Cl8lniDi modlde ID llmliliaris Join1 Duly ~ Manqen widi die plumed PDR.
17. (U) Wc wrncnd tMI die ADNllCHCO collect dau from CKlt IC clement llllllltally to lnlck bonus dala, co~ Joint Duty PrDpana pmticipanll wilh lhcir ~ ..... 11. (U) We lllCGl1u;w:ad !Mt die ADNllCHCO 11Udy lhc rc..ibi61y of mmbuncmcnl to Joint Duty ~ for milcafc ID Ulipl- lcaliona dial cacccdl the norm&! diluncc dmai ID nl from tllcir home clcmcnll. If die ~DNJ/CHCO dlltcnninm dtll n:imbwMrncm rar milcqc, or odw iKalli- will enhance participation in the Joint Duty Prqpwn. the ADNllCHCO, in Conjundion with the OGC, will c:aplorc adminillnlivc Md n:plalOly options for implcmc:ntina such illa:ntiw:a, or, if-,r, will cxplon: a polliblc lesi•ivc remedy ID allow for miJaec rcimbunetnanL
19. (U) We •-•aid dull the ADNVCHC:O pnlllllJliC - of the'° ODNl·fundod Joint Dilly pmi~ aVllilable far dlo Dlplnmanlll llld Service JC clcmtmll lhnlush lhc Dlputy ~"" c-ilra:, ICCHCOCouai:il, ad tbc Joint Duty COP ID Clllblc the Dcpar1maul 111111 Service IC clcmcn• to 1*:1dill forti--.Jo,.a who 1re IPP'Ovcd to lllkc • Joint Duty ........
ADNl/CHCO
ADNJ/CHCO
ADNJ/CHCO
ADNJICHCO
A-24
(U) CLOSl:D. ID c-mlty ofl'ncliQi (COP)- bridod in Janmry 2010.
(U) RESOLVED. CHOO i1 c:ollcctins data.
~)OPEN. OOC Uld CHCO arc -'tins on which type of inecinliva can be UIGd by the DNI under IR11' A authorities.
(U) CLOSED. The ODNI CHCO briefed the IC CHCOCouncil in Sept ad Dec 2009 ..S lhc ID COP Oct 2009.
~ ODNJ Office of the Inspector General
SECRET/~ORN
c:=:::J - - - - - - - - - - - - - - - - .- -
SE~NOFORN Semiannual Report 1January2010- 30June 2010
(U) Appendix A:· Status ofODNI OIG Recommendations Made Between 2007 and 2010
j(, \ 111111111 11 11111111
. 20. (U) We .._._.11111 Ille ADNLCHCO:
• OD a ICllli-.J or-i llllil, 1* lhc ICCHCO C-il ID llillhfillil _,di- iniliMivel UDd in
"""~ JDinl Dldy. • o-tup opplll1llnilia, including virtual oppartmitiCI
min& !he Joillt Duly wclilile, ID fJlmdcMI ...._ llld oilier inliowllionl .... inilillivca.
,~, 'P" ,Ji.t, I 1, Ill< 111(" ,,, I" I ti' It ''"'.II"' I) 11\ I> 11 l I I" I .i, I II' I 11 II I" I I
ADNK:HOO
(U) llUOLVID. m _..will llClll in die~ -am .. int"am.!iam llmil!l m Pi- ID ...,.._in lallrr 2010.
~~CMbeci-d - iMinnllim .......... it nllii.blc.
L_
(b)( 1) (b)(3)
I i
I
------------- -- --- - -- -~-I (b)(S)
l._~-==-==-==-=;::::::;::::::;::="""""""""============~A~-2~5~~~~~~~~~~~~~~~~~~
ODNI Office of the Inspector General "'-- . .
SECR~NOFORN
SECRET~OFORN Semitmnual Report I January 20W- JOJune.20/() ~
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
I~( 1•11111111 IHI tll• II !{\ 'P" 11 ' 11 •1\ I h lllllll!'-I 'ftj)'- I tL{ II l 11\\.lld'
Pt« II.tit l11.,i1. Ill< 11l.1J1o111
(Ul· 1-3. Wuwwwwldllllwidlia 120-,.or 11111 npan. dl9 ODNI Campllvllcr dndop a · ~-IO-dlllCCRfuacliollla. idmlifiad md can '1c......., tDpcrfoml lilmlymd ........... fBWf--'.-llillilnmd I06icllilm ......_towmd.....,. llnmlciel-.
~ 3-1. We IW wad dlll willliil 120-,. of tbil RPUl\ lhc ODNI DilllclDr of'lhe MiMioo 9llppDrt C8ala' _.,....a plla IO ClllllplJ widl FMF1A ccnilk:Mioll ..,._.for FY 2010:
I.a. (UI~) 11lc IC ao ftll -Willi doftnllM -a for lhe CIOI of ..-:Im with Mlionll eslll'ily .,.._ _... ... DNl't purview ID_.., perform !heir FY 2010 FJSMA reviewa.
l.b. (l)1IRl.Jo)lbe ICCIO .... iafamiOMBof'lhe IC CIO't dlciticlll io pnlYidl clcfhlitive imnclial• b' lhe IC -.mc:ia 10 - IO pllf'ona !heir FY 2010 FISMA rnicws.
ODNI CaaipwolJcl:
20May2010
Direca,MSC
20May2010
ICCIO
10 Jiiiy 2010
'ltJmiou<» CLOllU. OIO nocri¥a1 .....a.llility plla o. 3 ,_ 2010 dlat -•m-or111e~
{071PeUO) a.osm. 010 ......... FMF1A plla oe 3J-2010111111 _.. ... ii-.tof•-- :letige
{1)1niouo) 0- lhe OMB'i FY 2010 FISMA iilltl...UO.• en: llmlimd, lhe IC CJ() wiU ad¥itl OMB of ill clecitlan -.m, illllrucliont forlhc IC b ila FY 2010 FISMA review.
2 Thia report wa finalized on 25 June 2010. The implemeneation deadlinel have not yet puaed. Thcm'ore, thcac rec:ommendatiol _..not Included in dac total number ofOIO niport recommendations.
· A-26 ODNI Office of the /nspe~lor General
SE~NOFORN
r (b)(1) (b)(3)
SE~T / /NOFORN
~itmnual Report 1January2010- JO June 2010
(U) Appendix A: Status of ODNI OIG Recommendations Made Between 2007 and 20 l 0
l<t \•1/llllt• tl1l 1f11+1• I { l 'I !11 /I'-" ii" I I ( I\ I l 11 I j"' ' -....1, I'"' J d,, II I 11\\ ii th
1>111 l>.111 I 111plt dlt "' 11 ... 11
,, I
2.1. ~) Thc IC CIO ..... iJll'onnqancia widi FISME1'-Uls srouP IO lddNll FY
i9*11iaaa .,_...-the DN1'1 pinicw .. -. ICCJO 2010 c:lllllmpa. dewlop ___,
Ille IC 11C11Cia wiU .-in dleir FY 2010 FISMA 10Jaly2010 ~farthe ICCIOcmFY
blllllldicml mt lmw lllly IN IO lubnlit their FISMA 2010 FISMA-..i n:porling proccu, end ..... lldd.- odl« FISMA ............ chaleapa. Once dcvclapml md ...,,_.., OMB will be ldviNd oflbe IC CI0"1 dldlillll.
2.l ~0) The IC CJO llMll a!llWiM • dlld pJ.n of ICCJO clMQuo) ICJA ODl-..d ICES to lqin a
....... --vllbe CytiaSoap. ICliGn and mi--_,, fOrlllwlapina 11111 IOOl:t2010 ~ilia IDOi. ICIA and ICES wiR ~. clmlillod Wiiiian of Cybe!Soape far develop 1hc ...,aprialc pi- IO lllidc 1hc purp111m of CY 2011 FISMA Npodiaa. depJo,mcnl .,.-ml - die IDOi CID
Rd lhe~ 1-'8 of Ille IC.
3.2. (Ul).qpo, The IC CIO lhall idaatlfy in lla-i ICCIO
-lidated FY 2010 FISMA NPOrt ...._la wllicll BcPinins widi Ille FY 2010 FlSMA Iha IC..-;. n llCllWll!Pi,-. willl JCCIO ,..._ rcporllJll cycle ...S lhejmdflcalia. fis lho ..........
ii l<ll <11"1 \II '-<II <>I<. l<l l'tH<ht~l111- ~IJlllJ
l<I < <1\l\11 "\II\ I l!J"\'-,
Total Reconunendadon1*
Closed Resolved (°I• of Total) (°I• of Total)
Open* (°I• of Total)
9(\J) Dael not inc:lude the four 010 recommendaliona from the June 2010 report, /f1Cnt1.1"'11 tltc l'alw of rite /ntelUgace ~·, FMWal l"'°""""°n Sec:urity Al~ Act R.,,am, for which the implementation dmdline bu not yet pmcd.
·A-27
ODNJ Office of the Inspector General
SB~RN
(b)(1) (b)(3)
-
~ RN SECRET//l!lei:Q!
Cl
SECRET//NOFORN
(U) Report Waste, Fraud, Abuse, or Misconduct
c::::::;::::J------------
(U) To report allegations of waste, fraud, abuse, or misconduct in the ODNI or le agencies, contact:
Office of the Inspector General Office of the Director of National Intelligence
Investigations Division Washington, DC 20511
Commercial: (703) 482-4955
(U) For additional copies ofthis·or other ODNI OIG reports, contact:
:-----
Office of the Inspector General Office of the Director of National Intelligence
Washington, DC 20511
Commercial: (703) 482-4955
c~--~
SECRET//NOFORN
(b)(1) (b)(3)
·~11~ . . Semiannual Report 1 January 2010- 30 June 2010
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
I.I. L, "·· c. ~JO) Ti. IC CIO md the oa-of MSC. widlin 'liii6;.-ofdlll NPOl'. lhould: •) Delldop and ........ _. invenlDlyof.,._.; ad"> Dl:lcnninc tbe __..i.;p of thc 7 unidentified~ c) Make.,_.. addicionl,......., ..- adjllllmmll IO the. lllldlifCllCll eon-ucy·, (IC) Repay in. timely -·
1.2. (UI~) Thc IC CIO md lhl Dll.-olMSC thuuld -.:Ila the IC CIO-S NIC ._. willl lhe IC a.:pery, •a nRni-. an a...-.,. lmia.
ODNJ Office of the Inspector General
ICCIO
DiMSC
241an2010
ICCIO
DIMSC
Ocll009
A-IS
S~RN
~-·-)~•) ~VW lbrbodl t.ac Md IC CIOllCl!S. 1\c inwalQry tor 1IOlh ICES and MSC - .-iled durina the FY 2009 FISMA rniew. Howowa, wfldher ICES and t.ac ia Ible 11D mainlain m _... iDvenlDly win - 11e detaminod until the next FISMA review.
(U~) Reco•ni••;o. b) CLOSED r..- MSC and IC CIOOCES "-me ownmhip- raolwd in Jm 2010.
, RocollllDClldidion I .I L wt c - be c:lc-i aftl:r FY 2010 FISMA review ifOIO ~an-invadary.
~- -) Rl:SOLVU. Tlao IC ~~ -ti-IO-.-dillatl and -.die~ lnw.-y ~ willl lhl IC rep.,. CIO -U IO .-Ila my di&i' ··-llCllitlcMlonoflhelr am.aliaa bacalllwlllitlOOOOCl'.S' allClllicm. AJtbouab MSC md JCESrcpadldly nMcwl•-S IC¥i11n& lhe iftw:ntary 11118, the OIO mala 11D .,..,......... dleir eft'ortl.
(UllFooe) ~can be doled pcndi .. OIO FY 2010 FISMA rnicw.
(U) Office of the Director of National Intelligence
Office of. the Inspector General
(U) Semiannual Report 1 July 2010 - 31 December 2010
J --------(b)(1)
------ (b)(3) -- .
L___~~~~-~--~-~~~~~~~--'
SB~HC>PORlll
-;-: ..... .
1;/:> ; .. : :;;.:.<::. ;/: ·· .. . ... ... ,. . . . - ·. ,""' . . ,· .~ .
(U) The Insp_ector '.Generlill ~of.the:Office.()f the Director of Naµ~.~~i :io~~¥.ige~~~· {Oj)~~::.~~9Y:t~c:s<eolicy
directio1:(f or; ·and· plans~ condqcts, 's:tlperv~~' and - .- . . - . . . . .,.... .· ( .. .. . ti~:
coordl11ate$ i~sp~:ijotis.; aqditst. mv.esfigatiQ;Q.~,.;and otii~r t~iq"i•~:l~s ·r.~~~g:to'~,~e·i>!.~i.f•~'.s~~'··
opera~i~ils o_f;~~:~ ODNI and ·th~~'!~lltrt~~~~-.:JUJd resp~~•i.~i,M~~es :<if _~ti~ Di~t:.ctor5.~f ~~~~,. t''.:I~!4~lljence
(DNl) •. :<fhe ·ln'specto~· Ge.ner3l\i51~ ·. ge,~ '.fii~l cletect,fug fr~d,.~as'*e, ana·:·~~~e; ey~.~~!!~1 pen~r~an.~~.;·:~~9Jaking. -r,ec~.~~!i:a~~~~:f·to
promote·~ economy, efficiency~ and··etT~.¢pyelies$ in the ODNI and~tbe Intelligen~e·~~mi;1ui~fy.
'·:, ;,° :. , .. :: . ~:.- ~;·~ :~ :·· . •'. ~- ~:.~:_,,'.~~ :: "·:;; .-· }-!,,~: .. '.'" ... >~·.:<'.~ -~.-~ . '. 4 .; ••• -~ • • : .·-: .. ·:\' ••
.·:.·.·. ·:. . ·.· ' '. . :· - ~. . . . , .. · :."·""''. ·:.
··-· ' ..
~RN UNCLASSIFIED when separated from attacPlllent
.
• (U) A Meua1e From the haspector Genenl
(U) The Office of the Diroctor of National Intelligence (ODNI) Office of the Inspector Ocncral (010) made sipificant contn"butions to the missions of the ODNI and the Intelligence Community during the 1 July 2010 through 31 December 2010 reporting period.
(U) In addition, durina this reporting period there were significant developments in both the leadcrabip of the ODNI and the legislation supporting Intelligence Community (IC) Offices of Inspector General. On 9 Aupst 20 I 0, the Honorable James R. Clapper was swom in u the fow1h Diroctor of National Intelligence (DNI). As DNI, Director Clapper oversees the United States Intelligence Community and aervea as the principal intelligence advisor to the President On 1 September 2010, Robert M. Cardillo wu swom in to aerve u the fint Deputy·Diroctor of National Intelligence for Intelligence Integration. Director Clapper and his leadership team have initiated orpniutional. personnel, and policy clJanaes that will shape the ODNI and its relationship• with the rat of the Intelligence Community in the yean to come. The OIG is tracking tbeae deveJopmmts closely and will aaseaa the impact of these changes in fbture audits, inspections and other reviews.
(U) On 7 October 2010, the President aipcd into law the Filcal Year (FY) 2010 Intelliaencc Autboril.ation Act (IAA). which containa several provisions enhancing Inspector Genaal (JG) oversight in the IC. One provision establishes an JG for the IC who ii appoimcd by the Praidmt and confirmed by the Senate. with a niquirement to report both to Congress and the DNI. The IAA abo ltl'ellg1hcns the independence oftbe lnlpecton General of the Defense Intelligence Agency, National Geospatial-Intelligence Agency (NGA), National Reconaaissancc Oftiee, and the National Security Agency by including these agencies u lnspcctonl Genrnl of Designated Fedenl Entities (DFE) under the Jnapector General Act of 1978. In addition, the IAA accords atatutory status to the Intelligence Community lnspecton Genmal Fonun, whose mission ii to cmhanrA! collaboration and coordination, reduce rwfmvlancy, and strengtben the collective role of the Intelligence Community Inapectors Genaal in conducting cross-IC oversight
(U) During th.ii reporting period the OIG conducted audits, inspections, investigations, and reviews designed to improve the efficiency and eft'ectiveneu of ODNI and IC programs. Tbele matten are dacribed in delail in the Completed Projects section of lhi1 report. The OIG abo continued to conduct a variety of investigations of allegations of employee misconduct. In addition. we continued to support the DNI and aenior ODNI officials in working diligently to implement pending OIG RICOmmendationa.
UNCLASSIFIED w~~~~~_i:._<!__from attachment SB~
SECRET I /NDIPQJ1!5 UNCLASSIPIBD when separated attachment
(U) From a community penpective. the 010 continued to enhance collaboration in tho IC .Inspector Oenera1 community. On 7 Docanba' 2010, the OIG bolted a meeting with the Council of the lnlpectora General OD lntqrity IDd Bfticiea.cy (CIGlE) leaderabip team to acquaint the new DFE Inspectora Genaal with OGIB and to provide a forum for OGIE to acquaint the new DFE lnlpecton Gencn1 with the miuioa. activities, and cxpc:daliona 1bat go along with OGlE membenbip. 11le four new DFE lnapectors Genaal ditcuaaed their n:mpective millions and orpnmttions. The OGIB leldenbip team. the new DFE Inspectors General, and veteran IC IO who already belong IO OGIE idcatifi.ed opportunities for collaboraeion, discussed their n:spective peer mriew activities, and dacribed bow the IC 10 Forum promotes collaborative projects and best pl1ICtica for CODductiDg IC audibs, inspections and investigations. ·
(U) Ill October 2010, I appointed Irvin C. "CbQclc" McCullough to serve u Deputy Inspector General. Chuck comea IO the 010 wi.1b an outstanding record of prior govemmcnt service including. service aa Assiltant Inspector General for lllvestigations at the Office of lnlpcetor Genen1, Natioaal Security A1mcy; Senior Counsel for Law Enfon:ement and Intelligence, Office of Gcnm1 Coumcl, Department of TraaUry; and Supervisory Special Agent, Appellate· Unit, ImpectioDI Division, Pcdaal Burm& of lnvcatiaation. We are fortunate to have Chuck on the OIG loadcnbip team. Chuck succeeded Scott S. Dahl. who served as Deputy Inspector Oenaal from April 2007 to October 2010. Scott's dildnpi•hed falurc at the ODNI 010 wu recopmd when be wu awarded the llltelligence Community Superior Service Medal in October 2010. .
(U) Tbc IC 10 Community wu doeply Nddened by the pusina of NGA lmpcctor General Thomas J. Burton in January 2011. Tom served the IC for over 28 years, including nearly 3 ymn u NGA lnlpcctor General. Tom set high staodanls for objective, indcpcndcnt evaluations and will be rememben:d for his tenacity, his suppon and mentonhip ofhia colleagues, and his commitmme to the bigbcst staDdan:la of public service.
(U) We appreciate the continued support for our miJsion from ODNI lllllDBplDeDt and Coapas. >..the 010 continuea to woik: with the ODNl's new ladenbip team and prepares to tnmsilion to the Office of the lnlpeclOr Oemral of the llltelligence Community, I want to express my ~iation for the lalent and dedication of 010 pcnonncl in the ODNI and across the IC.
Rollyn A. Mazer Inspector General Febnllry 2011
UNCLASSIFIED ~! .... ated from attachment , ... s"Bcu'T~ .
(U) Table of Con~ents
L (lJ) 0¥enlew (lJ) OIG OJpnizarion
. (U) OIG Permnnel and Re1oun:es
D. (lJ) IC l:.specton Geaen1 ActiYI.._ (U) IC Inspectors Ga:taal Fonnn .CU> Intelligence Oversight Aedvities
ID. (lJ) Muapmemt Cludletlps
IV. (lJ) Completed Pnjedl (U)Audits (lJ) lnveltigations
·V. (lJ) Ollplq Projedl ud ActiYlti• (U) Inspections and Reviews (U)Audits (U) Investigations
VL (lJ) Coa.ealouJ E....-mn
VD. (lJ) Statu of OIG RflC'OBlmeadatloD1 for Compkted Reports
(lJ) Appcgdil
1 l 2
4 4 6
6
7 7 9
10 10 11 12
l3
13
. (lJ) S18ta1 of ODNI OIG Recem ..... datlom Made Blttreea 2807 ad 2010 A-1
Page intentionally left blank
~ Semiannual Rqon l July 2010-Jl .0.C...hier 2010
I. (U) Overview
(U) The miuion of tbe Office of the Impector Geoenil (OIG) is to improve Intelligence Community (IC) performance by: 1) conductina ovenigbt of the Of6.ce of the Din:ctor of National lotcl.ligence (ODNI) and IC propmm and opaations that filll within the authorities and responsibilities of the Director of National Intelligence (DNI); 2) exercising a unique crossageacy focus; and 3) dnlq upon the collaborative cffons oflC Inspector General (IO) patCDal. The OIG CODducD audits, illvestiptions. impectioas, and n:Mews of ODNI and IC pcrfomumce to detect and deta' waste. hod. and abuse and to promote efficiency. etfective.Dc:sa. and accountability. The OIG's completed and ongoiDg projocts me dcacOlxd in sections IV and V, RlllpCICtivcly, of Ibis report.
(U) The OIG makes recommendations to the DNI for improviDg the performance of ODNI and IC programs and activities. Section VIl of this report includes an update as of · 31 December 2010 on the stabl.s of ODNI management's implem.cntation of recommmdations DJllde in OIG reports c:ompletcd since 2007.
(lJ) OIG Orpnlzatioa
(U) An orpnization clmt delineating the 010'• 6:ont office and divilion structure durina the reporting period is below.
(U) Fipre 1. OIG OrpDbadoa Owt 2010
lmpectlOM DMllon
llMllllllllonl DMllon
............. RevliNs DMalon
(b){3)
(b)(3)
SE~ Scmimutual &port l July 2010- 31Deamiber2010
(U) The OIG is comprised of the following divisions:
(U) Flpre 2. OIG Dlvblen1 lOIO
Allllfl DIYidoD Executes prop9ID, compliance, and financial audits and evaluations of ODNI and IC Proarams, information 111ehnology, procunment, acquisitions, internal eontmls, financial statements, and financial manaaement.
fupedlou DIYilloD Conduc11 impections, reviews, and evaluations to improve ODNI and IC-wide pafonnance; examines information accas, collaboration, intellipnce collection, malysis, and compliance with laws and rcplations.
laftldptloas DIYllloa lnvestiplel alleptions of violations of criminal laws and administnaive reaulationa arillin& from the conduct of ODNI and IC employees and contracton.
M......-a1 ReYllnn DMlloll Conducts mumpmant and propammatic reviews of the ODNI. ita c:cnten, and the IC; evalualcl management and proceues to milt che IC in developina and implementina proccue1 and procedwa to improve both effectiveness and efficiency. ·
OvtftlPI ad PoUq DhllloD Performs reviews of propams and activities to 111e11 whether oveniaht and compliance ..e effi:ctive, moniton and amlyzes trends and palla'nl concemirw intelliaence ovcniahl ectivitiea 1ero11 the IC, and prepares reports on intellipnc:e owniJht iuuca in coordination with the ODNI Office of Gene111l Counsel for the Presidcnt's lntclliaenc:e Advi10I)' Boml's Intelliaence Ovcnight Bomd.
(U) OIG Penonnel and Re10urees
~The OIG bu a diwne, bighly-expericDced workforce with a variety of profeuional and intelliaence backgrounds. The OIG staff baa experience within other OIGs across the IC, and also as collectors, malysta, and project managers from military and civilian intelligence organizations.
The 010'1 autbori7.cd workforce level for Fiac:al Year (FY) 2010 was 33. As of
2 SB~
, ,
, , , /(b><J>
Semiannual Report l July 2010- 31December2010
training. The amounts and pen:cmtagca of OIG cxpenaes before the Comptroller took control of end of year f\mda are identified in Fipre 3 below.
(U) F'lpre 3. OIG FY 2tl0 Budpt Ezpeues
c:=J------- ------------(b)(3)
(SI The OIG worked with ODNI to rectify discrqJancies in the FY ~ 10 account and budget projections for FY 2011. I
~----,,---.,.,----------------____JI The ODNI Comptroller will provide additional funding ID cover these COltl.
{Unrooo) Bccauae the Federal govc:mment operated under a Continuing Resolution at the clOle ofthiJ reporting period, the FY 2011 re&0urcc: oudook mirron the 2010 profile in Figure 3 above. The OIG is examining the need for additional resources and positions to aatiafy the FY 2010 Intelligence Aulborimion Act (IAA) cstabliabment of an IG for the IC.
- - - - - - -(b )(3)
SECRET/ /NoPeRH-
&nnl.omtual hpM I July20I0-31 Decemb.r2010
II. (U) IC lnspecton General Aetlvides
(U) To achieve its ovenipt objectives, the ODNI OIG facilitates collaboration, information sharing, BDd stmtcgic Ptannma among the IC IO.. This section highlights some of the ways the OJG fulfilled this mission during this n::porting period.
(U) IC Inspecten Gellenl Forum
(U) The ODNI IG chairs the IC IG Forum. which moets quarterly to consult on topics of common interest, IO facililate the development of Cl'OIHICDCY projects. and to promote the role of IC IOI across the IC. The ODNI JG performs sueh functions as boating meetings, developing agendas. distributina pertinent documents, and majntajning meeting minutes.
~ Durina this reportina period, the IC JG FolUID promoted collaboration and coordination ainoag the IC IGs by excbaugina ideas and work plans. sharing best practices, and identifyina coUaborativc piojects atfeetiq two or !DOR IC OIGs. AIJ part of the IC JG Forum ~Dea, the Deputy lnspecton General WorkiJ18 Group and Allistaot lnspocton General (AIG) Working Groups for Audit, InspectiQDI, and lnvestiptions each met to exchange ideas on a wide variety of topics:
• (OliFOUGiJ The Deputy Inspectors 0-.. developed the pmgnun for the 1-16 Amlulll IC IO Confermce, which will be held on 10 May 2011 at the Defense Intelligence At,mt:y. The Deputies also di11C11&1Cd the impact of the FY 2010 IAA on their respectiveoffi.ces. planned fortbe IC IG Awards ccranony, and allllCS.1f"ld the progress oflC OIG peenevi~
• (U) The AIG for lnlpectioas Working Group Clltablilbed a Project Agreement that specified four common objcctiva tbr the joint JC Review of Continuity of Operations and lntcllipnce 11ew'ineu. The Woddq Oroup a1lo developed a pteliminaly chClcklilt. criteria, and mcuutes of cffectivcneu for peer reviews that are baaed on the Council of the Jmpecton Ocne.ral on lntcpity and Efficiency (CIGIE) Quality StaDdm'dl for 1mpoctions. The AlO for lnlpectiona at the National Oeo!lp&tiallntelligmce Agfflltl':y (NGA) volunteered for the first teat ND of the peer review criteria. and the AIG for Inspections at the National Reconnaissance Oftice (NRO) vohmleercd to serve .. team lead for the review.
• (U) The AIG for lnvmtiptiona Workins Group collaborated on propolCld legislation affecting invatiptions and cxcbanpd best pracdccs regarding proactive efforts ro· detect wutc, fi:aud, and miSJDaDllcmenL It also shared the oa:mcs of woddna taraets to ensure all IC agencies are awaR of any fraudulent schemes or efforts. The Workins Group also encouraged aad panicipatod in the IC lG Joint Duty Rotational Aaipmcmt Program, collaborated on IC'Mftl joint inveatiptinns. dilCUISed peer review models. and fllCilitated joint training within the IC. The Workina Group is eummtly reviewiDs compliance imUuctions Rganl.iq cmrent legislation. The
~ Sewdannual Rqort 1July2010- 31Dece,,.,.2010
Woddna 0roup eontinues to review Invatiption MaauaJa to ensure beat practices ~known ad used tbrouabout die IC OIG invcatiption divisions.
• ~)The Joint Audit Working Group (JA WG) bdd meetinp to coordinate wort planl ancl dilcua with ICDior officials iuues such• financial auditability, business tnmaformation., Federal Information Security Mamgement Act (flSMA) wort. forensic auditing. and cybenec:urity. The JA WG obtained CODBeD8UI for the
· ODNI OIG to iaue a~ report to address IC-wide FISMA issues idcmti.fied by the IC OIG1 (described in the Completed Projects section of this repon). In addition. becaule of increasing concems n:prding cybenecurity, the JA WG initiated a separate working group to focus on cybcnecurity and expedite the sharing of information aod audit approaches.
~In addition, the OIG Audit DiviBion aerved u the co-chair of the Chief Financial Officer (CFO)IIG Council. The Council is comprised of the Cmdlal Intelligence Agency (CIA), Defemc lntcllipacc Agency (DIA), NOA, NRO, National Security Agency (NSA). and ODNI CFO and JG repnllCDlativa. The Council ii responsible for: I) moni~ the IC implementation of the Financial Slatalnt A.uditability Plllll; 2) providina assistance to the componcata OD tbe raolutioD of IC.wide cballeaaa; and 3) developing ad executing an IC audit validation strategy. As the co-chair of the CFO/IO Council, tbe ODNI OIG led key meerinp and obtained lfXWkcn that facilitated n:rolution of lona·•tllndins issues regarding the application of ICCOUlll:ina principles aod the 0101' roles and capabilities in support of financial statement audits.
~In response to a c:onpasional inquiry on IC ~loyees• outside employment activities, the DNI asked the 10 to conduct an IC.wide review of the policies governing outside employment activities and any employee millCODduct investigatiom stemming from outside employment. The IG turned to the IC IG Forum membc:n for their usiS1BDCC in completing this review and provided a briefing to the House Permanent Select Committee on Intelligence (HPSCI) on the matter. The IG repol1ed that baaed on information provided to the OIG in response to a Ql*liODDlire sent to JC OIG investigaton, milconduct or abuse involving outside employment activities did not appear to be a systemic problem. The 10 aJ90 noted that IC elemaata' policica adequately notify IC employees of their obliptiom and the unique eomidaatiom for obtainina approval for outside employment activities. However. the IG alao found lbat IC elements would benefit from a periodic reporting requirement for IC employees approved for outside employment activities OD a case-by-case basis and from maintaining records to track the number of requca1s and the diapoaition of these roquests.
~In addition to the qumtcrly IC 10 Forum mecdnp, the ODNI OIO hosted a meeting of CIOIE leadership with the IC IGs of recently named Designated Federal Entities (DFEs). As mMlted by the FY 2010 lAA, the DIA. NGA. NR.O. and NSA were included as DFEs under the Inspector Oeaeral Act of 1978. Thus, the IGs for tbeac four entities now have statutory authorities under tbe awrpicca of the Department of Defense (DOD) IG. Previously, tbeee IGs reported 1brouah the DOD JG u ldminilllalivc IGs.
·s~
Semiallnual Report 1July2010- 31December2010
~The meetiq provided a forum for CIGIE to .:quaint the new DFE IG1 with the million, activities, and expec1Btiom of CIGIE membership. The IC IGs used this opportunity to promote 1111 undentanding of their n:spective missions and review potential overlipl ICR>U 11encies. CIGIE mcmben also discussed leverqina their effons and the next ltcpl for the new CIGIE members, including participation in meetings. committees, working groups. The 1ttcndeea also dilCUWd training opportunities, Joint Duty Exchange programs. award programs, peer ~ews and best pnictices for conducting audits. inspections and investigations. including bow to avoid duplication of effort.
(U) Intelligence Oveniglat Activities
(U) Executive Order 13462 elevated accountability for intelligence oversight reporting to the heads of departmenls and agmcies and incorporated a more timely method for reporting significant and highly scmitive intelligence oversight maucn from IC components to the President's lntellisence Oversight Board (108). Under the Executive Order, the DNI analyzes IC component intelligence oversight reporting submitted to the JOB. This responsibility is carried out jointly by the ODNI OIG and the ODNI Office of the General Counsel (OGC). In coordination with the ODNI OIG and OOC, the JOB issued its Intelligence Oveniglrt Board '.r Concept of (}peration8, dated 8 Scptmnber 2010, which ICt forth the President's expectation for intelligence oversisht and the IOB's concept of operations for meeting tllOle expectations. Once issued, the 108 staff and ODNI oversight penonnel began scbcduling meetings with oversight penonnel from each IC element to discuss the updated reporting requirements and to provide feedback to the IC elements regarding past reporting.
(U) The OIG alto participates as a member of the joint ODNI and Department of Justice oversiabt team that conducls periodic reviews to assess IC compliance with procedures and guidelines issued pursuant to Section 702 of the Foreign Intelligence Surveillance Act (FISA), SO U.S.C. §1801 et .req •• as amended by the FISA Amendments Actof2008, SO U.S.C. §1881a. The n:sulls of these compliance reviews are IUllJIDAri7.cd by the DNI and the Attorney General in joint sanjamwal rep011I submitted to the Senate Select Committee OD Intelligence (SSCI). HPSCI, Senate Judiciary Committee. Housc Judiciary Committee, and the Foreign Intelligence Surveillance Comt.
m. (U) Management Challenges
(U) The Reporu Comolidation Act of 2000 niquirea federal aaency IGs to identify and rq>ort the serious managcmmt and perfonnmce challenges facing their aaencies. In 2009. the 010 issued 1111 IC Management Challenges report. which included challmgea identified from its own repo~ and synthesized challenges identified in repons published by other IC OIGs. In contrast, the 010'1 2010 report identified challenges exclusive to the ODNI.
(U) To identify the challenges for our 2010 report. the ODNI OIG drew upon inspections, audits, investigations. and reviews performed in the past 2 years, challenges discussed in the IC IG Forum, issues identified by ODNI senior ofticials, and i;naterials provided to Congress by elements of the ODNI.
·.~
~ Semiannual Report l July 2010 - 3 l Deceinber 2010
(U) The cballengcs WCR not praentecl in priority order because all ~ critical for the ODNI. It a1ao was not a cumulative list of all ODNI management cbaJlenges; mdier, it provided a snapshot seen through 1he lens of recent OIG reports, OIG finclings, and ODNI activities and focus an:as.
~ n:O.ected in the OIG's 2010 n:port. we identified the following 88 tbc{Jm,51 ----------- -(b)(1) serious management cbaJ1cnses facing die ODNI: (b)(3)
l--------------------i
(U) In bis response, the DNI agreed that challenges idmtified by the OIG do not lend themselves to one-time solutions. but requiR sustained focus. effort, and lcadenhip over time. The DNI also delcribed additional ongoing or planned.efforts that addn:ss each of these challenges. He noted that 1he ODNI is implementing a number of cbanacs in each cballenge area in direct raponse to the OIG's recommendations. He also stated lbat the ODNl's performance in each of these areas will continue to improve 88 management implements mon: of the OIG's recommendations.
IV. (U) Completed Projects
(U) Audia
(U) lacreallaa die V.ame oftlle IC'1 Jl'edel'al laformadoa See•rlty Maaa ..... t Act (FISMA) Reports
~The OIG initiated this project u a follow-up to die annual FISMA report and addressed issues identified during the FY 2009 evaluation that wen: beyond the scope of the annual FISMA reporting requiJemenla and that cut across multiple clements oftbc IC. Specifically, the issuea addressed in this audit included the effect of the delayed receipt of the Office of Management an4 Budget's (OMB) annual FISMA rcquimDents, the inability of the IC to UIC OMB's new unclassified database for FISMA reporting, and the lack ofa standard definition of an '"information syatcm."
~evaluation examj!IC'Jd the impact of tbcsc issues on the IC OIOs in performing annual FISMA reviews. The evaluation contained tbcsc findings:
1. OMB docs not provide FISMA imtJuctiom to IC agencies in a timely JDBDDer, which bindcn agencies' ability to conduct a tborouBh review of information security or provide OMB and Congress with a meaninaful report on systems scicurity.
(b )(1) (b)(3)
~ Semiannual Report 1July2010- 31December1010
2. IC agencies are unable to use the uncluaified automated system mandated by OMB for reporting FY 2010 FISMA raulrs.
3. FISMA reporting amona IC asencies is inconsistent due to the absence of a clear ddinition for an "information system."
~n\ The report tude three recommendations to the IC Chief lnfonnation Officer (CIO) ._;-~~value of the IC agencies' annual FISMA n:ports submitted to OMB and Conpaa, u well u to improve accountability over information system security: 1) establish definitive melrics and guidance for IC CIOs to perfonn annual FISMA nwiews; 2) establish a detailed plan of action ad milatones for developing a clusified version of OMB's unclassified tool for agencies IDDual FISMA reporting; and 3) provide guidance to IC asencies on the definition of a reportable entity for FISMA pmpose. The IC CIO concurred with the n:icommeadations, and all nx:ommendations have hem fully implement.eel.
(U) FY 28111.Dclepeadeat lt¥alaadoa of ODNI CompllllllCC! wltla n&MA
~SMA requires that an annual iodcpcndent evaluation be perfonned by an qency 010 or by a third party to assess the security measures for infonnation systems lbat npport operations. To conduct this evaluation, the OIG applied OMB's FY 2010 melrics for 11 c:ateaories of information security. Within ODNl, two aroups are responsible for inf'onnation systems: 1) the Miuion Support Division (MSD), wb.iCh is responsible fur iatema1 ODNI syatema, and 2) the Intelink P.ntapri!C! Collaboration Center (IECC), which is raponsible for IC systems. The 010 also followed up on prognu made by MSD and IECC to add.nsa recommcadalions made in Ibo FY 2008 and FY 2009 FISMA n:ports.
SE~
(b)(1) (b)(3)
(b)(1) (b)(3)
Semiannual Report 1 July 1010 - 31 December 1010
c::::::::::>----- --------
~ In order to eliminate potential weakncsw in ODNI information scc::urity, the open FISMA ~tions from FY 2008, FY 2009, and FY 2010 need to be implemented promptly.
(U) Ji'Y 2010 Couolldated nsMA Capmtoae Report for tlle lntelUgence Apndel' Inspect.on General
~For the first time, the OIG completed an evaluation of FISMA reporting by all IC OIGs. The objective of this evaluation was to collect and summarize the FY 2010 FISMA report submissions from 11 OIOs for IC agencies that operate or cxcn:ise control of national security systems. The evaluation summarized the information security program strengths and wealme:sses across the intelligence agencies, identified the causes of the weaknesses in these programs if noted by the respective OIGs, ~d provided a brief summary of the recommendations made for intelligence agencies' information security programs based on our rniew of all of the OIG reports. To perform the evaluation, the ODNI OIG applied OMB's FY 2010 FISMA metrics for 11 categories of information security.
(iJ7nreucn Based on the rcsulta of the 11 OIG reports. we found that incident response and reporting ranked the strongest among the information security prosnms, with 8 OIGs noting that an incident rapomc and reporting program bad been established that met OMB requirements. OUr evaluation also identified three: areas where more than one agency reported the llbsence of established security programs: continuous monitoring, contingency planning, and
(b)(3)
remote ecccssJ I r ,-------(b)(3)
~Six intelliacncc agency OIGs made a total of 164 recommendations to address individual agency findinp. Four of the aacncy OIGs reported that 42 recommendations were repeated from prior years. Unless tbcae security com an: addressed, these weaknesses could lcatve agency national security systems vulnerable to attack.
(U) Invesdgadon1 ·
~ During this reporting period, the OIG conducted 23 investigations on a variety of allegations, including time and attendance fraud, conlnlcting irregularities, ethics violations, misuse of govcmmcnt property, voucher fraud, abuse of position, and improper use of appropriated funds.
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Semi.annual Report l July 2010-31December2010
(U) AIJcaed Coatracdq nd Admlailbadwe Vloladoas by u ODNI Of&cial
(U) The OIG investigated allegations tbat an ODNI leD.ior oflicial committed numeroua contracting and administrative violations. Thia matter was briefed to ODNI executive management and reaulted in significant improvements in the component's contracting and administrative practices.
(U) Allepd Volldler Fraad bya Smior IC Official
(U) The OIG investigated alleptiona tbat a senior IC official in another agency committed travel voucher fiaud. The investigation detennined that no fraud was committed. The home agency of the official was advised of the OIO's finding&
(U) AIJcaed ProcanlllCllt ud Time ud Attmduce (T&A) Fn•d
(U) The OIO subsbUd:iated allegations that two contractors bad cbarpd the government for hours they bad not worked. The two coatracton were .Ubscqumtly terminated by their employer, and the employer mmbursed the government for the estimated amount of loss, $101,550.14.
(U) Ute of S.bpoena Audaorlly
~During this reporting period. the OIG did not exercise subpoena authority under section 7(a)(4) ofODNI Instruction 2005-10. ·
V. (U) Ongoing Projects and Activities
(lJ) In1peetlon1 and R.eviewt
(U) Review of tile Stlitu of l•tearatiH of.die IC'1 Deputmeatal ad s.vlc:e Elem•tl
(U) The OIG ii conducting a amew to identify the unique roles, capabilities, cxpcrtisc, and fimctions of the Departmental md Service elements; identify any barriers to their intepation; and determine bow these elements cm be more effocbvely leveraged and intqrated in the IC.
(U) Evaludoa of tlle Adlldalstradoll ud Muaaemmt of ODNI Core Coatncton S.ppordq Crldeal Mluiu1 .
(U) The OlG is conducting an evaluation of ODNI administration and managancnt of core conttactor8 supportins critical missions. The· objectives of the~ are to assess the risb 1110Ciated with the administration and management of core CODb'lets; Nriew ODNI initiatives to improve the administration and managaneot of contracts; coasolidate and synthesize similar aaeocy-level evaluations of COIJlnlctor resource strategies; and identify
SE~ Semiannual Report l July 2010- 3 l December 2010
oyslrmU> or""""1ing problems, 1rmds, ad bad ..-m-u: riok miliption ........._ la support of this evaluation, we uked thcj _ _ _ fOl'. ~ .tQ J 6 ____________ _ contract files uaocialal with adviloiy arid support contracta&y J ODNI. We also (b)(3) sought interviews wi~ntrleting officers (COs) responsible for administration of these contncts. Altbougbl__Jprovided us with some relevant conlraet materials, we weR unable, despite repeated requests, to obcain direct 1CCeS11 ~ the contnct files and the COs. This restriction affected the comprehensiveness of our review.
(U) Evalaadoa of the Prelhleat'• DUiy BrieflDg (PDB): Soan:es, Resources, Pron11s, and ·o..tcoma
~The DNI relies on the PDB to provide the President and his senior advisors with a baseline of intelligence to inform their perspective on world events, potential threats, and the capabilities md intentions of adversaries. The OIG is evaluating the sources, reaoun:es, and processes used to develop the PDB and is assessing the incentives and disincentives fur agency participation in producina the PDB. In light of significant changes to the PDB cntelprisc following appointment of Director Clapper in August 2010, the OIG decided to suspend completion of its evaluation until it can mcaninafblly cva1uatc the impact and efficacy of those cbanaes.
(U) Audits
(U) A•dlt of the DNI'• Moaltor1D1 ~ Coon:llDadoa of the Comprelleulve National ~beneearlty~~tlve .
~The OIG initiated this audit to provide an assessment of the DNI's execution· of his responsibilities under National Security Presidential Directive 54/Homcland Security Presidmtial Directive 23, commonly known u the Comprehensive National Cybersccurity . Initiative (CNCI), to monitor and coordinate CNCI implementation. The objective is to evaluate whether the policin and procedures, rolea and responsibilities, and aovcmance structures have been established to effectively monitor and coordinate CNCI implementation. The audit will examine the adequacy oftbc coordination between the ODNJ and other federal agencies rcapomiblc for implcmcntation of the CNCI initiative and determine whether there are gaps or additional measures thilt should be addR8llCd fiom a CNCI or ODNI pcaspcctivc. To accomplish this audit, we are coordinating with agcacics in the IC, other agencies responsible for CNCI initiatives and enablers, and senior administration cyber officials.
(U) Aadlt of die U1e of Reciprocity by the ODNI for Penoanel Security Clearance and Wrlag Parpo1e1
(U) The ODNI initiated this audit to examine security clearance reciprocity with respect to both eligibility and suitability. The OIG believes the findings of this audit will facilitate and iDC1C8SC the efficimcy and effectiveness of security clearance and 8Ccess dctmninination reciprocity among IC agencies.
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• s~ Semiannual Report 1 J11ly 2010- JJ December 2010
(U) Thia audit alao will mspoad in put to the FY 2010 IAA niquin::mant for the IC IO to audit accurity clearance reciprocity tbmugbout the IC. Due to resource c:ousb"BintB, the ODNI 010 will focus IOlely OD reciprocity and suitability isaues ftom the standpoint of the ODNI in connection with the three security clelnmce nciprocity acenarios apccified in the IAA requirement: 1) an employee of an elemc:nt of the IC detailed to another element of the IC; 2) an employee of an element of the IC seeking permanent employment with another element of the IC; and 3) a contractor seeking permanent employment with an element of the IC.
(U) Iavesdgadoas
(i:JJ7peuQ) The OIG continues to m:eive allegations of wrongdoing &om within the ODNI and the IC. iocludina aUegations of edUcaJ violations. ~t fraud. abuse of position, and T&:A ftaud. Select cases representio.1 the breadth of ongoing investigations are highliahtcd below:
(U) Allepd Uuatlaorlzed POllelllon of Govenmeat Credtlltlals
(U) The OIO ia invcatipting why certain ODNI employees were issued credentiala &om aovermnent entities other than the ODNI. The ODNI U. in the process of recovering all known credmri•ls issued to ODNI pcnonnel from other aovemment entities .
. ~) Alleaed Etbla Vloladoa by Senior OflldaJ
~The 010 is investipting an allegation that a senior ODNI official violated admmimative and criminal ethics rules by personally and 111bstantially participating in the ODNI acquisition process relatina to the potential acquisition of services fiom a former employer. The 010 investigation will examine whether the ODNI official complied with a 2-year ethics recusa1 period and whether the official participated in pre-negotiation meetings while holding a financial interest in the prospective vendor.
(U) Alllipd Violation of tbe Procmremeat Integrity Act
(U) The OIO is invClltiptina an allegation that m ODNI employee provided procwcment-IC:Dlilive information to a CODlnCtor whoso company wu bidding on a large ODNI contract.
(U) AJleaed EtMa Vloladoa by a Salor Oflidal
(U) The 010 is investiptina an allegation that an ODNI official violated federal ethics n.ales by failing to report bis ownership of stock in two public linancial clisclosm1' repons and participating in official business involving another company while be owned stock in that company.
~ •• _...: __ &O
SECK.tn"/~
·~ Semianllual Report l July 1010- 31Dec:emb.r1010 ,
(U) AUepd MllllM of Polldoa by ODNI Muapr
(U) The OJG ia inveatipti.na allegations that senior officials in an ODNI component retaliated apimt an ODNI employee because the employee had filed a complaint about the component's ID8Jlll8emcnt practices. The complainant claimed that after making his written complaint, be wu given a low performance rating, threatened with a suitability investigation, and given a letter of warning on baseless charges.
(U) TAA Fraad by an ODNI Employ•
(U) The OJG ia investigating allegations that an ODNI employee submitted false T &A records for several months. The employee's managers allege that the employee repeatedly failed to show up for wolk but submitted T &A records indicating the employee was at wolk.
(U) OIG Complalat Intake S)'ltem
~The ODNI OJG receives allegations of miaconduct from IC employees and · the general public on a variety of violations. During tbi1 reporting period, the OIG received .17
complaints, which included allegations of government credit card abuse, child pornography, ethics violations, contract fraud, and a miauac of position. The ODNI OIG bas investigated or refc:m:d each of these cases to the appropriate IC investigative element.
VI. (U) Congressional Engagements
(U) Dwina this reporting period, the OIG engaged with memben of Congress and congressional staff on a variety of iasues.
~On 12 August 2010, the ODNI OIG briefed a staff member on the U.S. House of Representatives Appropriations Committee, Subcommittee 0n Defense (HAC-D) on the findinp and recommendations regarding an administrative investiption of a lellior ODNI employee and on the resultl of itl audit report, Increasing the Value of the Intelligence Community'• FISMA Reports (ddcussed above at pp. 7-8).
~ On 1' December 2010, the Inspector Ococn.I and the Assistant Inspector General for Investigations briefed the HPSCI Intelligence Community Management Subcommittee on two recent OJG reportl: 1) the OIG's Review of IC Employees Outside Employment Activities (discussed above at p. S); and 2) the 2010 ODNI Management Challenges Report (discussed above at pp. 6-7).
(~ith regard to the 2010 ODNI Management Challenges Report, the JG outlined the five cballqe1 noted in the OIG report. The JG described progress made by the ODNI in movins toward achieving financial statmnent auditability, noting that ODNI management bas tully implemented all recommendations from the OIG's 2010 audit of the ODNI's Audit of Internal Controls Over Office of the Director of National Intelligence Fund Balance with Treasury and the OIG's 2009 Joint Audit of National Intelligence Program Funds at the
~-
s~~ Semiannual Report.I July 1010- 31December1010
Depaitment of Homeland Security Office: of Intclliscncc and Analysis. The JG also noted that judpncnts made by the CoagRiss in 2004 and 200S led ODNI lllBDll8CIDCllt to avoid creating duplicative systems for ODNI information tecbqology, information security, contractor oversight, and other support services, but instead to rely on other IC clements L :::l.- ________ _ for inhstructurc and pn>cc:SICI. · (b}(3}
VD. (U) Status of OIG Recommendations for Completed Reports
(U) The implementation status of 010 R100mmcndations made in reports completed since: 2007 ia noted in Appendix A, listed by report in reverse chronological order. Recommendations arc '"cloled" if they have been tb1ly implemented (designated in green) and "open" ifthcy have not been fully implemented (no color designation). At the end of this reporting period, 69 percent of the recommcndatiom in the reports listed below arc closed, and 31 percent remain open.
~this reporting period, the ODNI bas cloled or made significant progress in implcmcntina several OIG rccommcndationa. For example, the ODNI closed one of the six open RCOmmcndations from the OIG's 2009 report on Acquisition Oversight. The RCOmmcndation dealt with establishing a reporting mechanism to track the achieved performance of fielded major system acquisitions. Over the past 2 years, the OIO worked with ODNI personnel to identify thresholds for qualitative and quantitative reporting now included in Appendix F to the Annual Program Management Plan Report.
(U) In addition, the ODNI implcmcnted one of two mnaining open recommendations from the OIG's 2009 report on the implementation status of the IC Civilian Joint Duty Program. The OIG recommended that the IC Chief Human Capital Officer (CHOO) discontinue the requirement for IC elements to report quarterly promotion data in order to reduce the reporting burden on IC clements. The IC CHCO changed the requirement from quarterly reports to annual reports, which tufticiendy addrcucd the OIG's findings.
~4 SECRET/~
. -
Appendix
Semiannual Report I July 2010- JI D«ember 2010
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
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CU> arco •cllriftld im....-or JoilllDal)' 1a.n lll'Wlap 1a IMJC81111 ln.__(e.a.1COC)
A-13 ODNI Office of the Inspector General
s~
(U) O.OSl!D
(U) a.osm
(U) CLOSED
(U) a.osl!D
(U) a..osl!D
Semiannual Report l July 2010- 31December2010
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
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I. (U) We 1WOWlll 11111 ... ADNlltHCO...., uddlploy• ..... .......... ..-1-1ca111-.-cy- .... pc-91111the_._llW W.Duty ........ IDIM JWICS Joint n.v,......
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-·~ I IJlldinictlylOdllclllliftDd ........
A-14
(U) O.OSED
(U) a..osED
(U) a.osED
ODNJ Office of the Inspector General
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Sellfiannual Report l July 2010- 31 Dec:ember 2010
(U) Appendix A: Slalua ofODNI 010 Rccommeodationa Made Between 2007 and 2010
2.1. (U) 1111 ADNllCflO. ... JOdl,p ofdlil ""°"" ..... Clllllfill lbnml ...... ..,_ ... .... _.._ ....... ............. _ ...... ............. ............ CPO ....... ,...,..._.._ ....... .....,. . ....-NIP ... prior IUOllitl f "111-of'lhr.mflmdl.
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1.1. a., b., c. (UllFOUO) 'Ille ADNJICIO Md die DiN1:t11r o( MIC, widaln I IO .,. (Jimmy 2010) of'dliil f!PO". llbould: ..
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A-18
, , , ,
ODNI Off1ee of the Inspector General
SB~
, , ,
~NOFORH Semiannual Report 1 July 2010- 31 December 2010
(U) Appendix A: Status of ODNI 010 Recommendations Made Between 2007 and 2010
lh1t 1111, I<. \'>111111• ll<Lll!' fl \, \i<lfi' 111 ll,tl, '-I.Ill"
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I n"'b.,n, '"")~loll can be cloMd-INOKl i18blc ID .-c:ile die hMlnlory widt lhc ..-,.. (llMnlofY providal ill Scplcmbm'-._. • OIG'1FY2010 .-llillion). Bar:1u1e Ille IC CIO Im DOI ,a n:a:tlod IOC b Ille IC rr ResillrY, MSO CllllllOt COlllpkU die updllca 11111 lhl OKI CM1111t )'el .-lie.
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{Onpguo) OPEN
~)-----b)CLOSED far MSClllld ICCIOllCES ~ i-mi~ WlllGOMd lnllnlOIO. ClOSl!D
~"""Lee- Ni• l>)Cl.OSED for MSC 11111 ICCIOOCES ~ ~~ -.--inJ.nlOIO. CLOSED
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A-19
ODNJ Office of the Inspector General
SE~FORN
,
~RN Semiannual Report I July 1010- 31Decetnber1010
(U) Appendix A: Status of ODNI 010 Recommendations Made Between 2007 and 2010
11,,, I)' I
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OPEN
~Reco tri=cmbsclwml-diclCrT~il • IOC 11111 UPGft _... .i ftliclllloa of die IC rr.....,. dD by dleOIG. Ualil dic IC CIOslloiw:I IOC tbr Ille JC rr ~. MSD an1111t ~ lhlupdlllll9md .. OIGClllllOl1"1'1¥i1w fDr
~--willl••-· d•• 1.1.~ .... ADNL'CIO 111111111 Dil'9ClllDr of MSC-... .-.1111 -ADNLOO lld MSC ---~willaa.IC ---.....,.,.a...um-,ona ---........
ADNK:IO l'Omeuol OPl!N
~A11 .... 10011 l1M111:1110l0.1-11111 ... -.. ... 111i a-1-111s 1e rr ..-..,.1,• IOC end apon -W md ......_ofdic IC rr Rcci1bJ c11ta by Ille OIG
----------DIMSC
~ OPEN
l'Dll'PeUOl.ScPlOIO: ........ wwwaclltioe-,_,_.t dlle to tllll illbilily 10 llllCOllCile in-'Gry cbi• lhc FY 2010 f1SMA nwiew.
"- _:,:-· All..,...toon11Mnh2010,iwa u illl!rmcube cia.1-111e IC rr ~ •• IOC 11111 -..---• 'Wllldllian of die IC rr •-'-dlla 11¥ die OIG. Utilil die IC CIO
A-20
~FORM ODNJ Office of the lnspectQr General
~ Semiannual Report I July 2010 - JI December 2010
(U) Appendix A: Status of ODNI 010 Recommendations Made Between 2007 and 2010
2.0.~)Tlle ADNllCJO Md lhB DiNlcrar of MSC. willlln llO days of l.hill11P01t(2.CJ_.y 2010), ADHllOO wift clnclop I Cllllti&ollioa mid .:crodilltioll .lll'lllqy includinl 1 lelledldo (plm of stion and milllll>ncl) lbr ICICCNdi•i• .... dtlll .,......llld llplllllethil . inlilrml&ioa in lhl IC ltclillrY llld lhl DinlClor or lhl Million SllpllOlt C.. willelllllblillscatilicaliou Ind ---..1ona ror a11 .,...._ idllttilial vndcl' lhc::ir owncnlllp .md JlllllLlllil i ..... jgpindl;!C &:i&iln,
DIMSC
I
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A-21
ODNI Off1ee of the bu~ctor General
S~RN
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I I
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{b)(S)
S~FORN Semiannual Report I July 2010- JI December 2010
(lJ) Appendix A: Status ofODNI 010 Recommendations Made Between 2007 and 2010
Ht\ •1n1111t 11d tfi!ln I > '" I 1 111
H111p1<11I \, 1!1111, I" IJ.111 '-,i ,111!'
3.0.amd ~) 11la ADNllCIOmd tlle Dinl:lorofMSC, within llOdlytoflhi1"l'O't(24Jmlll)'2010). *'111d:
- - -
(\)Mrooo) •~)Pa1orm ADNOCIO OPEN -.ii)' 1111 lls.,... 111111 mmllllly -...~ 'ttMllQJO) ~ioaClft beci-i uponnaipl of ft I ... 11111- ..... tiwl I
---or~ 1c1ts being pcrfan..t ilr IECC l)'llCllll y.-old. wilhin dw - --
lUl'1P8UO> The MSC.,.._ 11111 did aot i......ity .__nut ~) DIMSC ........ Tlllnin,1hlJdW llOt .......... ualil lhee&A CLOSED ,._ - llOlllPlete.
- - -------~)
~)Pai'onn ADNOCJO OPEN
-..! _,.;1y-on ~) Ra:onunmdltion CM beci-t upon naipl ofdae ~with I pl'DlllClion docualcnllllion _...tiy - bcina pa"'1ned ror IECC lfllam widl 1 lc¥el ......... pn:lllll(ion PLI«~. level I.
~TlleMSC.,_lllM did 11at i...-.i1)'1111111-llOI ~) DIMSC _.illll. '11lcldn, llwydid _.. niquiftllillllil!l ualillheCAA CLOSED
..--~
4 U.c. ~The ADNllCIO 11111 lhe Din1:1or or MSC, withto 120 dlyt orlhill "l'O't (24 ~ 2009). lhould:
I a)~) 1!.11111111111 I
I - - - - - ------- -~, ADNUCIO l pll1I for prilrmlq -iftlllle>'--Oii .,__.,..~ ~)~loll cm becio.l_,.,pllll l1 developed
pWtllllU_.,.... .... lltd Yllillcd byOIG. 1be orisJnal coqildicilt elite - :zit Nov 2009. )'WOid lllNlallbiilh I ........ period lbr IVlln oonlinpql p1111 ll:lla;
~) twMSC i C10SED
A-22
1-
-
ODNI Office of the Inspector Ge11era/
S~RN
(b)(S)
(b)(5)
{b)(S)
···········-------
~ Semiannual Report l July 2010 - 3 l December 2010
(U} Appendix A: Status ofODNI 010 Recommendations Made Betwcrm 2007 and 2010
I ) 11! I> 1l1 l~t 4 i11111H ud.tl1•111
l{,,IJH<lll \ 1 t I" 11" I" j) .II<
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b)~) Pllfonn COlllinplicy ... -011 •II lyllelm with m .ailllbiiity ~) ~11111ldltioll C111 be clciaed upii. OIO ieceipt llld rmqorhish;
icvicw of documc:otaion or ~ioll of lellinc.
DIMSC
cflOllFOOtij AMip ADNllCIO
all'llilllliliry natlnp 10 all OONI ~on the IC Rciillr)'.
DIMSC
Sa,b,c. n. ADNllCIO Md the Da-of MSC, within 120.,. oflhil report (24.,.,...... 2009), should:
I
.,~. ADNUCIO
unilbnn wriacn pi. of -- ---------- -.aion and mi--.,._ tor the OONI;
l
D'MSC
b) ......... pllft ofllClioft ... millllolle lilll ID include dallD .._ ADNl.QO
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A-23 ODNJ Ojfu:e of the Inspector General
S~FORN
I I
·-------
'-.,I tr 11'
-~-OPEN
~
~ CLOSED
-~~ CLOSED
~ OPEN
- - - - -
~ CLOSED
~) -Cl.OSED-
(b)(S)
(b)(S)
(b)(S)
(b)(S)
~/NOFORN Semiannual Rqort J July 2010- 3 J D«:onber 2010
(U) Appendix A: Status of ODNJ 010 RecomlrM!Ddetiona Made Between 2007 and 2010
I Ii 11 Ii ti\ f (i \ 1t1' I Jl I 1 lid , i Ill I \, 11 .. 11· '" I I 111 'd ll!h
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~ ·-DIMIC I a.osm'
I
6.~111e ADN llllDm- 24 "'°" 2009 ~ of MSC, wldilm IJO.,_of lhitcepm.t, lhcJlllMjoilldy ADNL<JO a.osm dmllop a ODNI DIMSC i
~........-lllllkv.
6.2 IJJ. (l:Mqp> nc ADNLOO, widlill 120 di
I I) lDm'8lJO) AdDpl llld .......... ,..... Dlllldop
I i ~) OnOiafrpn&klll .-.llrll
~- Al>IM:IO documlll dlVill•lllll I -a,-oiddclcndll i OD dlillllClpldirlCll)' CllllllrUIW by ODNI; ('Dmieuw RealHN --- tlllckllild .. pvof of FDCC
........ llld/Gr'dol .. dlwillillnL
b)~mp--Fcidcnl CoR Collflpl9lion ~ I - - - - - - - - - - - -- - - - - ~ ~
.... illlu .U Windowl ADNK:IO
., XP""lllll Villa•dlllfl1ap1 I I OPEN dinl:lly CllllllnllW by Iba ODNI.
(U/; ~m11 •11ioa - 1:111 clmed llpOll pvof of FDO: llllUGrilcwHltelJ ........
A-24
-
- -
ODNI Office of the Inspector General
~FORN·
(b)(5)
(b}(5)
~ Semiallnual Rl!port 1July2010- 31December2010
(U) Appendix A: Status of ODNI OIG Recommcmdations Made Between 2007 and 2010
I<" tl!lllll 11d 11 I )t I< ll.1 I'
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\1 ''"'l' '"I>,,, '-I . ii 11'
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~~-of MIC, wllhill llO*" ol AnNllClO i ........ lllillllld...., DfM9C ·--------------- - --- - -
111 laddlM ...... poliCJ. (b)(5)
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2"'Sept2G09 ~)
Wowlllllllioll~b) ADNllCIO a.osED
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ADNllCIO (b)(S)
I
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DfMSC (b)(S)
A-2S
ODNl Office of the Inspector General
SECltt!'f'//N9P41&N
Semiannual Report 1 July 1010 - 31 December 1010
(U) Appendix A: Status ofODNI OIG Recommendations Made Between 2007 and 2010
1>11. l>.11• l~l l r1111riH rid 1111111 \., r1q11...., t" Jl.111 "' 1r11,
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9.0.(DM;DUO) The ADNIK:IO ud ... DINISllr or MSC, wilhln 60.,. ol dlil NpOlt,....,.... l\ally i...,.__.all ,_,...,.la die FY
.2008 OIG ASMA report
24 Sept 2009
ADNIK:IO DtMSC
IU/'ll't!IUU) 11le OIO ii crmu. lhi1~ ba:aue impla-m or the FY 200I OIO FISMA nipoit 1w.dllio!ll .. bcias lllidral ilodeji Wly. lOm'euo>
a.osm
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~---byODNlno..-illl ~wldllC 8Cqllillllall policy.
b.~) l'llblish IC policy no Iller llwl 120 dayl after 1ip!9hR. idcnlifyin& a pa-a model IOr the ODNI NJ wortfora: n:latiw: to Ille IC acquililion COClllllllllily, lncludifl&:
A. {tJnpeuo) R&visin1 ICO I 10 ac:munt lor cunmt dillribuliou of..ihorilill and dcmion,...... B.~) Slmid8nlizi .. lcw:k of official 1*"'-and prolOCIOI .,._ ODNI olrocials and IC COlllliapUIA.
C. ~' Clarif'ylns 111e~-or~1 relative lo the codified aulhorilia oflhe DNl'1 Milatone Dccilion Authority {MDA) (DDNl/FC), the DDNla, the ADNl1, ud DNI Policy for lhelC.
l<il \I 11 < '""' 11 "<>l'I'
J..-y2009
~) Awaili• P.tS complalion o(ICO I _,;lion or n11:ision of ICD I and ill n:iiI-1 with Euculivc Cor1espoildcn:c.
A-26
(i:Jmieuo) CLOSED
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SECRET~RN
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A-37 ODNI Office of the Inspector General ......____
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(U) ICPOa SOI. I and SOI .2 pmtill1y ..._-....of dill ·-----
(U)OPEN
ODNI Offu:e of Jhe Inspector General
SE~
~FORN Semiannual Report 1 July 2010 - 31 December 2010
(U) Appendix A: Scatus ofODNI OIG Recommendations Made Between 2007 and 2010
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A-43
ODN1 Office of 1he Inspector General
~RN
(b)(S)
S~RN Semiannual Report I July 2010-JJ Decttmber 2010
M Annencfrc A: StatuaofODNl.OIG
(b)(S)
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I = - - ----- - .... ~-
I I I 1 {b)(3)
A-44 ODNJ Office of the Inspector General
SE~
(U) Report Waste, Fraud, Abuse, or Misconduct
(U) To~ allegations of waste, mud. abuse, or misconduct in the ODNI or IC agencies. contact:
Office of the Inspector General Office of the Director of National Intelligence
Investigations Division Washington, DC 20511
Commercial: (703) 482-1300
G 1----------l - --------------or
OIG _ [email protected]
(U) For additional copies of this or other ODNI OIG reports, contact:
Office of the Inspector General Office of the Director of National Intelligence
Washington, DC 20511
~~~) ~~2-~r-ss
(U) Some ODNI OIG reports are also posted on our classified website:
------ -(b)(3)
(b)(3)
(b)(1) (b)(3)
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(U} OFFICE OF THE INSPECTOR GENE~AL OF THE INTELi,JGENCE COMMUNITY
SEMIANNUAL REPORT TO THE DIRECTOR OF
NATIONAL INTELLIGENCE
(U) FOR THE PERIOD OF 8 NOVEMBER 2011 TO 30 JUNE 2012
I. CHARLES MCCULLOUGH, Ill
0 (U) Mission (U) We conduct independent 1111d objective •udlts. Inspections, inwstlptions end reviews to promote economy, efficiency, effectiveness, end intllfatlon ICIOll the lntelliflance Community.
0 (U) Vision (U) Spult truth; 4ll1lble a:ellence in rnen1111ment end eccountability.
0 (U) Core Values (U) ~ We .. honest, lnlstwarthy, ec:c:ountable for oor actions, and committed to fulfillina our mission.
(U) ,,,,....,,,,,'-= we hold ourllllves to the hilhelt stenderds of tachnlcel proficiency and treat others with courtesy and respect.
(U) ,..,,,,,._.: We conduct our mission free of external Influence and provide objective ISSmments, edvlce. end conclusions n.iprdless of political or personal consequence.
0 (U) Diversity (U) The IC IG promobls diversity in 1ll 11P9Cts of our mission as• key to oor success. Our professionel and innovatiwi culture demonstrates the value wa place in hevina • diwne workforce. This is true with our hiring and promotion pqctlc• es well es our efforts to support current IC IG staff who wish to develop Of enhance their current skill sets hr leamina a new IG discipline or partlcipatlna In a Joint Duty assignment. Our commitment to diversity ensures that we maintain an equiteble wortdn1 environment and cai fully levat'lflll the •ied IG expertise and IC badqJounds of our staff.
~ OFFICE OF TH£ INSPECTOR G£1'1EltAL OF THE INTELLIGENCE COMMUNITY 0 SEMI ANNUAL REPORT
TOPI~
I , /(b)(3)
(U) A Message from the Inspector General
CDm=9UQl I am pleased to provide this summaiy report rA the activities of the Office of the Inspector General of the lntellipnce Community (IC IG) for the period rA 8 November 2011, through 30 June 2012. This report is submitted pursuant to Section
I03H of the National Security Act of 1947, as amended.
tttllf9YO) I was nominated by the President f<ll' this PoSition on 2 August 2011, and I was confirmed by the Senate Select Committee on Intelligence (SSCI) on 7 Ncwember 2011. I greatly appreciate the attention .-Id strona support the Director of National lntellilence has pn:wided over the course of the reporting period. I have also received a ansat deal of suppart in my Initial endeavors from members of the SSCI and House Permanent Select Committee on lntellipnce, and the lnspecmrs General from the IC IG Forum.
~ Dunrc the reporting period, our nascent office has focused on establishment efforts as well as eonduclifli audits, inspections, and investiptions. We completed our first two component inspeci;ons within the ODNI, covering the Office of the National Counterintelligence Executive and the Office of Equal Employment Opportunity & .Diversity. Additionally, we issued an evaluation report summarizing the results of "Phase I" of a review of lntetliaence Community (IC) Continuity of Operations Plannirc, and we completed several administrative i nwstiptions, includif'll a senior official matter referred to us by another IC aeency. Finally, we bepn to implement a Pfqp'am to lead IC-wide administrative
illVlllStiptions into unauthorized disclosures of classified information (i.e., "leak"} matters.
~As Chair of the statutory lntelliaence Community Inspectors General Forum, I met with member IGs to learn more about their various priorities, visions, and missions, and to pin insi&ht into their expectations for the Forum. I am pleased to report that, thl'DIJlh the IC IG Forum, we are currently collaboratifli on several IC-wide reviews, to include a study of the counterintelligence aspects of IC electronic waste destruction practices in the IC; an audit of IC security clearance R!Ciprocity within the IC; and a review of employee accountability in the IC. We also plan to undertake future IC-wide reviews invohrina the performance of inherently gowmmental functions by IC contractors and the state of inl'ormation sharlfll within the IC.
~l These initial project accomplishments and onaoi'li efforts were possible because of the hard-workirc and dedicated men and 'Mlmen of the IC IG, who have worked tirelessly to assist me in buildine a solid foundation. Since our stand-up in November of 2011, we have hired I I
I . --of our authorized billets. Recqpiiii'li our increased - (b )(3) statutory responsibilities, ~jusbK_! ~r- _ _ _ _ funded staffing level trorrl_~___:::poiifions, and (b)(3) we appreciate these much needed resources.
~ I am humbled and honored to serve as the first Inspector General of the Intelligence Community. We have allUdy reached sewral significant milestones, but much more wort remains to achieve a full operational capacity with respect to audits lnvesllptions, and inspections within the ODNi and across the IC. We are committed to performi'li our work in accordance with the hi&helt standards of professionalism, objectivity, independence, and integrity.
I. Charles McCullough, Ill Inspector General of the lnlBlligenca Community
II
·- . . .. =··
.
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· Table-of..C·ontents ... . :-..
L ......... M.ITAl'VTmY ...... _Wm
2 ............... M GVEIVEW
2
3
3
4
4
4
(U) Orpniation
(U) Persomel
(U) Fundlni
IU) Briefinp
CW Hurinas and Testimony
(UJ Ll&isllticll'I ~the IC IG
5 ................ .CWMllT-
5 (U) Completed Audits
7 (U) ()neaq Auclts
• .. . ..... .cw lltl'ICTlla llVlllGI
8 (U) Cornpllbid Inspections
9 (U) OrcPrw Inspections
10.. ........ _JU> lfMl1'ICAl'INIS -10
10
15
(U) Select~ lrwtiptions
(U) Ohr kMsliptiw Activitils
, (U) IC IG FOMn
15 (U) IC-Wide Trlinil'll
11-·· ~.-JU>.,,_ A: STATISTICAL OV11VEW 17 ......... JU> APPlllllX I: llllllAIY .. MllTS
11 ........ JU) APPIMlll Ci IUMIUIY • lllllPECUm
19 ......... JUJ ........ D: a.lllAIY • IMSTIUTllllS
20 ........... (U) NftJlllX I: ..... llMSTllA19S
21 ........... M APPlllllX f: STATUS• m:ml-DATICINI
25 ........... (W STUllllC IULl Alm ...cnvES
TO•~
(U) Statutory Reporting Requirements
(U) This rtipOl't is submitted pursuant to Section 103H of the Nltional Security Act of 1947, as 11111t1ded, requiri1,11 the lnspectot General of the lntlllilence ranmuntty (IG) to prepn and submit to the Difactar of National tntellitlnee tDNI), not ID' thm 31 JanUlfY and 31 July of each,..,, a semiamual "'POl't summarizina the activities of the Office of the lnspectar General of the lntellilence Community UC IG> durh• the immediately prectdt,.six-monttt l*iod endi11131 Otctmber. (of the precedtna year) Ind 30 Jurlll. respecti¥ely.'
(U) S1udards
(U) All llUdit activities of the IC IG are cllried out In accord.-ice with aeneniily ICCeptld pM!mment IUdltina standards.. All IC IG inspection and ilMlltiption ICtMties conform to standards adopted by the Council of the lnspecton General on lnte&ritY and Efficiency [CIGIE).
(U) Ctrlificlllen of Ful and Direct Acceu (UJ The IG hat hid full and dlttct ac:cms to all information rellVll'lt to the performll'ICt « his duti•.
CU) Slbpotm AulllDrlty
ru> Dlllirc this rlPCW'tina period the IG Issued no subpoenas.
(U) .......... Proposals CU> Durina this reportina !*iod the IG propaMd no new l91isl.ltion.
(U) Stata of ReCOlalllUdlllilnl
(UJ Appendix 8 pn:Mdes an update on the status of IC IG recommendltions. 2 Each recommendltion listed outlines the Office of the Director d National lntellilenee COON!) component ar IC e11ment responsible for the nec:emry corrective actions, and whether fll not the corrective action hat been fully implemented. Where comictMI action h• been completed. a description of such comictiw action lspnwided.
(U) FDCll Areas (U) The IC IG will review the IC element manaaement challentel identified for Fisal Year (FY) 2012 from the other IC lnspectcn Glnel"ll and will develop and submit sitnlfbiit IC challenaa for the FY 2012 reportina period.
~ Durirc lhis iniml nipottina period, the IC IG enstnd that its 19S01.WCes to conduct llUdits, inspections, lnvestiptlons, mid reviews were used judiciollsly by focusina on critical IC-wide areas. That stn1t1ik: focus allowed the IC IG to !WM a positive impact on the IC mission while .it the same time embllshing the office's care capabilities. Some d those focus .... included:
• Financial manaaement
• Cyber threat information sharing
• Security clearance niciptOCity
• Unauthorind disdosure
• Accountability for IC official misconduct.
(U) Overview
(U) Orpnization CU) The lntellieence Authorization Act (IA.A) for Fiscal Yur 2010 esteblished the IC IG with the authority to initiate and conduct independent audits, inspections, iflYlltiptions, and reviews on proerams ind activities within the responsibility and authority of the ONI. The IC IG promotes economy, efficiency, and effecti~ in the administration and implementation of such prqrrams and activities and prevents and detects fraud, waste, and abuse. That broad authority allows the IC IG to identify and investipte systemic IC issues that impact the DNl's ability to achieve intellieence inteiiration. In addition, the IC IG provides leadership and
coordination to other IC Inspectors General throup the Intelligence Community Inspectors General Forum UC IG Forum), which was also established by the IAA for FY 2010.
~e IC IG is composed of the IG, the Deputy IG, the Counsel to the IG, and the Assistant Inspectors General (AIGs) for Audit, lnvestiptions, Inspections, and M8fiai8ment and Administration (M&A). The IC IG principal operating divisions are Audit, Inspections, and lrwestiptions. The M&A Division and the Counsel's Office provide enabling support to the operational divisions and the IC IG Front Office.
2 <>-.. -=cc ... :;.;-=---= OFFICE Of TH( INSPECTOf< GH1CHAl Of THE INTELLIGENCE COMMU:-i!TY 0 SEld• ANNUAL REPORT
T~RN
(b)(3)
(U) Personnel ltJm:ouQ.> The ~ 1s authorized a total staffina complement of LJ conslstina of full-time and P111-time civili• positions. The table below shows approved staffing billets by division and office. FiUed positions, as of 30 June 2012, reflect
~~~ -uhi 1na1...1oU11.1 w.1.tii .-ti-~~ -fill one or the existina vacancies.
TOP~llN
~The IC IG is campased Of qualified delr1leCI and certified personnel. Their experience rellecls I wide f'*W! of l>aclqpuunds. skills. Md professional certlflCltions relevant to their work Ind consiltent with desired ... d demcnstrated experience. The folloM11& f.._ summarize the IC IG sblff's ~ ... and academic blclqirounds.
(U) Fundint ~)The ODNI has provided 4Mlaqu.te
(b)(3)
(b)(3)
fundil'.!I. ~!I! JC! LG_ l!\!Mi911 to_~ _0.11t bu.._ ----- -~personnel semces Ind..,,.,., support (b)(3)
requirements such • travel, trainina. equipment, supplies, intorm.lion technolosY support, and office automation requirements to include ~. softwa'e purchases, and license renewals.
3
, .
·. {Ul Congr~ssional Eng~gements
(U) lriefiRp (U) Pwsu.nt lo -=tion 103H of the Nationll Security Act al 1947, as amended, the IG hes a stMutory obliptlon to ..,,. thlt the cqreaion1I Ml'Siabt committals • kept fully Ind currently inf«"* al sianifbnt problems and deficiencies within the prqpms and ldMties al the DNI. Ourl .. this report! .. period, the IC IG Counsel, ttvouah the Lt&fSlative Counsel, facllir.tec:t ...,... ~ lflPll"l8l'lls with the IG, Deputy IG, and elCh al the AIGs on • variety of topics of interest to the conpuional 0¥8l'Si&M committees, includina estat>lillVMl'lt of the IC IG. 9ddressin1 congressionally directed ICtions, IC IG reports on Cyberthreat Information Shllrina end IC Cantinuity d Operations (COOP) efforts, IC IG budtllt and A110Urce plannina. and IC IG authorities to conduct IC-wide reviews.
(U) Hearinp and TestiltOllJ
CUllFOUO> In ldditiOn llO ttlOM COl1ll'ftllonll ......,,.a, on 5 June 2012, the Senate Select Committee on lnteRipnce CSSCIJ held • hurina on the st.m of the IC from the perspective of the IC elements' lnspectmrs Gener11. Duri111 lhls '-inf, the IG led a p!ll'l8I of IGs from the Central lntellialnce Acertey (CIA), the o.tense lntell~ Aaency COIA), the Nltionll Geo1p1t11l-lntelll1111Ce Aserte:J INGA), the National Recannai$sance Office CNRO), and the NatiOl'lll Security Af,ertcy (NSAJ in answerinl SSC! members' questions on current IC lssl.m. The Members were most ina..sted in IG budlllS. retirlmlnt benetltS tor criminal in\llStlptOI'$. manaeemant responses to IG investiption l9pOrtl that substlintilte ~ milconduct, enhlnced whistlllblower pUections fer IC civilian ernpklrees, and •1u1cs" of classified information. Thi SSCI Ctlairmen expressed appqclation for the inslaMs sNlred by the IGs.
(U)IAsi•laUanl.,actinathelCIS (UllFOUO) The IG did not make erry legistlltive proposals lhls reportlna period. However, the IG ll1Jll9CI with conaresaional committees on enKtlld llli:Slation and pnMded input to the IAA for FY 2013, the FAA Sunsets Extension Act of 2012, the Whistleblower Enhancement Act d 2012, and the Reducinl <Mr-classification Act of 2010.
4 i!Eiii==:;:;:::;;;;;;;:;;==:iiii OfFICE Of THE ll'ISPECTOR GCNEl!AL Of TtH INTELLIGENCE COMMUNITY 0 SEMI ANNUAL REPORT
~
~RN
Ci:Jmreuo> The IC IG Audit Division c:onducb p!'08Jllm, compli1nce, and financial audits and evaluations of ODNI and IC prqp'lms related to information technolCJIY, procurement, acquisitions, internal controls. fil'lllflCiel statements. and financiel manqement.
UJmreuo> Durint this repartint period, the IC IG Audit Staff completed 5 audits and iSSUld niports
conblini• 27 l'KORlmendatlons to strencthen internal controls tNfll financial manapment and information technolQf.Y. Aa of 30 June 2012, the Audit staff had ttvee on-coina audits.
(U) C-pllllld Audits
(UJ Joint AUdit of tfll Status of the Sharing of Cybttr Thfut Information • Classified Annex (AIJD-2012-001, Comp/ltlld November 201 lJ (U) We found that c:yber centers, IC aeencies. and eybenecurity ltllrlllholdn acnm the IC were actively sharina or suppottinl the shari111 of Information about c:yber thruts, ttnat source.. and syslem and network wlnerlbllitits. Information WIS exchanlld throuih both formal chlnnels and Informal communications, usina.a wide v•iety of communication mechanisms. How!Mr, despite suctt lharina. our work identified two issues that, left unaddreued, 11N1J ~ the effectiveness and efficiency of the IC'I eybenecurity efforts and inc:reae the cyberllcurity risks to the community and the Federal Gowmment. Fillt, to suppcrt cyber thrut informlition thaina. 1 number of mmndates, stnlleaifls, and PfOlt"llmS had been established to prowide ~and tools nllllded to implement and facilitate cybersecurity and Cyber threat sh•in1 llCro9S the IC. However, those multiple actions tlken by different orpnintlons ICIOSS the ao-nment to achievll similar shari• pis hM resulted in duplication of efforts or pps In arus of responsibility. Second, despite the slplticlnt amounts of cyber threat informltion bel• shlAld acrou the community, IC cybel'Security officills Identified multiple impediments that were hinderlAI their efforts. Impediments included clluiftcatlon issues, a lack of common lhari"I auidelines, and the volume of unfiltered dab!.
T~N
(U) Audit Division
(U) C~urity officials we interviewed Identified additional issues that they encountered in the course of their work that may hinder the efficiency or effectiveness of IC cybersecurity prqpms. Those iS10eS included traini"I and career flexibility to retain personnel with the required skill sets, no obliption for Federal contractors to report internal cybersecurity Incidents to Feder'll authorities, and the ltftllhy piocess for acquiri"I or developi"I cybersec:urity systems Ind tools that is not keepi"I pace with rapid cybersecurity technology chln19S.
~Fiscal Year 2011 C«lsolidated Federal lnformatlOll Security ManagemBnt Act tFJSMAJ of 2002 Capstone Report far the lnteHi1ence Atencies' Inspectors Genni (AIJ0..2012-002, (}JmplBtld November 2011) (U/JfOUO) The objectMI of this evaluation was to collect and summarize the FY 2011 FISMA report submissions from the OIGs for the federal llll!Cies opendiAB or awcisina control of National Security Systems. Based on the results of the 11 OIG reports, we found that incident response and niportin1 ranks the stronaest amona the 11 informcion security pn11rams, with 9 OIGs notina that an Incident MSpOMe and reportiAB prccram had been establithed that met Office of Manqement and Budpt (OMB) and National Institute of Standards and Teehnolo&Y (NISTI requirements. None of the apncies failed to establish a prqpm. The remainiAI two OIGs reported thllt • proarem had been established but needed to make improvements to meet OMB and NIST requirements.
~We identified two areas where more than one aaency reported the absence of an established security prqpm for continuous monilDri"I and remote accasa. Althouih most of the security PfOIJlllTIS for continuous monitorina and remote access had been established, lllflCY
· OIGs identified weaknesses In all 11 pn:igrllm -. Of those 11 prcpams areas. the majority of weaknesses_.. found in 4 _... Continaency Ptannin1. Plans of Action and Milestones, Security Confiluration Man11ement, and Certifieation and Accreditation.
5
----Y'· . ... .,. "
· "(U') ·Audit· Division
(UJ Fiscal rear 2011 /ndependent EVl/uation of ODNI Compliance with the Flderal lntormation · Slcudty Mina""""' Act iRsMAJ of 2002 (AUD-2012-003, Comp/lttHI Decsmber 2011) IU) The objtcti¥t of tills evalu1tion was to pnwide an indeplndenl l'ftiew of the OONl's information. security PFDllf80'I and prKtices as required by FISMA. The specific purpose of this evaluation wa to dlatermine the lldequacy of the information security proarams fot ODNl's Mission Support Directorlte CMSD> and lntelink.
~
TO~ORN
(UJ Contimslonally DiflCfld Action to Assess the Auditability Plans for CIA. DIA. NSA. NCA, and ODNl(AIJD..2011-005, Completed January 2012)
"fbwmuo, We c:ondueted an 8SSellSl'llent of it; ;",;lilatiuity plans submitted to Cof'llP'IS5 in September 2011 by CIA, DIA. NSA, NGA, and OONI. We auessed the aud!Wlility plans' soundness and likely success. and.any recommended impnwements ot chanaas to the plans.
~ found no reasonable assurance that based on the plans we reviewed, any of the five entities would be able to achieve an unqualified opinion on their FY 2015 ar FY 2016 financial statements.
(UJ Rtview of the OffiC8 of the Director of National lntellilflllCB's Compliance With the /mpmfJlf Payments Elimination and RtlCOllB,.fY - , Act (IPCRA) of 2010 (AUD-2012-006, , -', Complated May 2012) ,
(U) IPERA Is an annual stotut°'1 requirement that requires each aaenci IB ID perfilnn a compliance r!Mew. The objectiYe of ow review was to determine ,llllh8ther or not ODNI was in compliance with Js>tRA. The 111SUlts of the review ltlVelled
, thl£ althouah ODNI reported improper P1Y"19nt L---~----------~,' information in its Annual Fin111Cial Report <AFR),
ODNI wn not in compliance with IPERA. c \ ____________________ (b)(3)
• .:;::::::====:==::=c=;===o orricE or THE INSPECTOR GENERAL OF THE INTELLIGENCE COMMUNITY 0 SEMI ANNUAL REPORT
~
TOP~N
(U) OlllDinl Aullltl
(U) Audit of lntel/ipnce r.otnmunity Security Clearance Rseipmc;ty
l'C1nPewo) The IC IG initilted this IUdit In responte to• ~ly directed ICtion in the IA.A for FY 2010. This audit eumll'lld whether there were policies Ind ptOCIS&llS within the IC that flCilitated timely reciprocity of pen;onnel security clurlnc:es. Spa::ifically, the ludit assessed the time requil9d · to obtain 1 rec:iprocal security elelnnce for three Cltlljp111 of IC personnel:
1. An employee of the IC who 1!111 detailed or mlilflld ID lf10ther element of the IC (dettileel Ind mitnees>i.
2. An employee of the IC who was seekin11" penntnent emp~t with another 81ement of the IC lplsnment transfetl); Md
3. A contr.:tor seeki111 permt1'181'1t employment with 111 element of the IC (contractor conversions).
(U) Suitability considerations are critical for employment decisions within the IC. Therefore, we tlso utmined the il'llPICt of IUitability on hirina dons for those pencnne&. We will issue our report by the end of FY 2012.
(U) Study of E/tJctronic Waste Oispoul Practicn in the lntel/illfD Community
~ Per MCtion MO of the IM for FY 2010, the IC IG initilted • study of the electronic waste dilPOSll r:nctlces of the llfllSt IC elements with exclusively lntelliaenc:e rtlllled missions. This study wn a joint effort with participation from CIA. DIA. NGA. NRO, 1nd NSA IGs. The study hid two objectives:
1. Identify Ind - the security of tllCtronie waste disposal practices in the IC, includina the potentill for' counterintellipnce ei!ploitation; Md
2. Identify methods to impro¥e the security of dispoul r:nctiCes. includilll steps to prevent the forensic exploitation of electronlc waste.
(U) We will submit our study to the lntelli&'ence Committees by 7 Noviember 2012.
TOP~
(U) Audit Division.
(U) Fiscal lt!ar 2012 lndepent/llnt Evaluation of OD/II Compliance with thl ftdtral Information Security Manalf/lllllt Act (FISMA) of 2002 Repatt (U) FISMA requires federll 1(1811Ci• ID est.blish security measures for infOfm.ltion systems that support their operations Ind report tnnuell~ on those measures. FISMA elso requires thlt en annUll independent evaluation be performed by the aeencies' OIG. The objective of thi$ evaluation is to provide an independent review of the ODNl's information security prqvam Ind prlCtices. The FY 2012 FISMA metrics require that OIGs report on their apncies' perf°"11ences In 12 PfOll'•m areas, incl udil'lll
1. Continuous Monitorina
2. Security Configuration Man1181!f119'1t
3. Identity Ind Access Manapmerit
4. Incident Response •nd Reportina
5. Risk Ma,,.......nt
6. Security Tr1inin1
7. P11nsof Action 1nd Milestones
8. Remote Acce18
9. Conti11811f1CY Pl1nnlna
10. Cont/11CtOJ Systams
11. Security Clpital Planning
12. System lnwntay
(Ul We will is.sue our raport by th1 end of FY 2012.
7
.. . , r:· .... ' , ..
. -.. -. ·- .---.~ .- . , .. ',
' ' ~ ; ... . "·t - -·
.. :·.·
. . . ·~·
CU.) Inspections Division
«Jlnreuo> The IC IG I~ Dhilian COllducts inspections, nMews. end evaluations to i lnPfOllll' OONI Ind IC-wide~ Ind inteption. The division mminls informltion ICCtSS. COiiaboration, COiiection end -- IC pnlinlmS Ind istuel. Ind compliance with laws and reauiations.
~) Durilll this reporti111 period, the lnsc:iec:tiOM DivisiOn developed ll'ld implemented "C.ompanent Inspections" within the ODNI. Eich Component Inspection ccwered four primll)' an11s: 1) mission~ 2) manaeement effectiwlness. 3) resoun:e manaaament. and 4) ent«J)rise OV9'111ht. The results of 9ICh inspection ware briefed to the c:ompoiient held, element emplowees, Ind th• ODNI front office.
lil11rewo> Durl111 this 111porti111 period, the Inspection stiff completed thfw inlPICtions. As of 30 June 2012, the inspection stiff hid two Ql9>in1 inspections.
(U) Comple&ell lnspeclioas
(U) Intelligence f:/Jmmunity Equal EnyHoyment Opportunity and Divetsity (IC EEODJ Office (INSP-2012..()()(}2, Completed 18nua112012).
~) This inspection occurred durln1 Na.nblr and Dlicemblr 2011. We not.d
(UJ dffica of thl National CaunterintlllitellCI f.xecutiVI {/NSP-2012..()()()1, Completed Apri/2012)
(~O) This inspection occurred durl111 January and Februaly 2012. The objeetive was to provide the incoming Dinlttor of National Counterintellipnce with Information on workplace challenfles upon his arrival. Given the allotted time. we did not conduct 1 full-scope inspection.
(U/IF we nobld the f0Uowi111 commendllbles: I dedicated wortdorce; wide-ranaint mission authorities; strona suppolt from the ON!; hlghlyrmpected products; inc:reesed stature within the IC and Cl eommunities; ll'ld an effective internal takint system.
(b)(3)
- - - - - - - - - - - - - -(b )(3)
~ We not.d the followinl comlTMll'ldlll>les: IC-wide EEOO strlhlliC Ind operlltional pllnni111 activities; tMk to budtlt linkleli OVWlitht of IC enterprise EEOD activities; office WCfkforce initiatives to impnM stiff performance; Ind a fami!y..friendly worlc environment.
I E COMMUl'UfY O SEMI ANNUAL REPORT ;;;;;;:;;;;;;;3!!EEiiiiiiii!iiiiiiiii OFFICE OF TH~ INSPECTOR GENERAL OF THE INTELllGENC
~RN
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(U) Inspections Division
(U) Clpstone Repott-Phase I: lnllllillnct Community Continuity of Operations Planning (C/JOPJ f/llSP-2011-003, Completed January 2012)
~ MembM of IN Inspections CommittM of the IC IG Forum llPMd to l)lrtieipate in I ... ptl8ld nsmment of IC llllflCY COOP PflVlll'll. DurllW PlllSe I. pilrticif*tt IC OIGs conducted lntellilJlnce readiness Ind COOP Inspections at their .,.Ciel, Ind the IC IG aaessect those reports to identify lltl'1 commonalities.
iB11NFJ Our miew of the PlftitiPns' DIG l9POflS nMlled the followine commonalities:
TOP~ORN
ilJm;ouo) Ph-. II will entail .., IC IG hlll.lltion of the 1'DN1 COOP pqJam, including OONI complilnal with fedetal Continuity Directive l, encl I raiew of the Nll:IOl\ll lntellipnce Emeraency Mln111ment Activity. Phase II will belin in FY 2014.
(U) Olplfll 11"9CllDnl (UJ Offit:I af l.8gislative Affairs. (U/IFOUO) W. n Cl.mntly c:onduetinl I component inspection of the ODNI Office of L.eaislative Affairs.
(UJ Office af l'arlntJt Engagement (PE.J
(IJ11FOtJOi w. .. a.mintly conctuctine • Special RNlw within the ODNI PE Office, We n usine an abridaed scope and mettiodolc:llY to ensure timely 1116 relevant input to the incomina PE Director.
•
(b)(3)
. .
( U) Investigations Division
~The IC IG lnv.tiptions Division irwestiptes .ileptions of viollltions of criminal laws and alminiSlrltivt 1111Ulations 0111 from the CGnduct of IC and ODNI empqeas and contr.ctcn. The division hal unique •uthority to invatipte mat.ten Ni.tad to the DNl's J>RV8mS and ICthrities acl'Olll the IC. The dhrision .iso phlys • princiPll role in conductina IC-wide .tministnitMt invlStiptions into u1111.1tnorized disclosures of clllssified infonnation.
10/IFOUO> Durina this f!IPOl'tlna period, the division opened 20 new irwestiptions, ind closed 21. Of the 21 cm. clOltd durinl the reporti111 period, 7 were substlntiaed and involvld violations such IS
time Ind llttendlnCe fraud, emplo,te mitconduct, 1nd theft of BU'1'91'nmtnt property. M of 30 June 2012, the division had nine onaoillfl inwstiptlans.
(U) Select Completed lnvestiplions:
7UlmJtJ8J Alleged IJnauthotiled Commitment of Government Funds (llW-2011..()()29A & INV-201 J.IJ029B, June 2012) ~)We compllbid two lnvestlptions that sublhntiatld thllt M ODNI Senior Offici•I and 1 GS-15 empio,.e impniperty committed CMlf' ·
$300,000 of llMl'"ment funds an ,...., diffwwnt OONI contrlCts. We llso found that Mr $20,000 .. UllCI for the pure,,_ of prohibited it.ms. Fll'lll ODNI encutiVI m.......,,.,-it disciplirwy and restitution decisions •• pendina.
(IJ) La/Jot Mischatfing (fW.2009-0013, OllClmbet 2011)
ll:mfeuc» We completed • contrlCt .. bor misct1w1in1 invatiption that substlntiatld • contnK:tcr billed the Gcr.wnment fOt CMlf' 140 hoUrs of 19bor that w• not perfumed durinl a 9-month period. The United States Attorney's Office for the Elltem District of Vlrglnill declined prosecution, and the aintrlCtcf IMde restitution to the Gow!mment far $11,117.87.
· {fJ/IF9IJQJ AJ/tged MisllSS of Gtwllnment Equipment, Classified and Unclassified Systems, ind Food Satvices Catlring f/IW-2012-0007, M8y2012)
'le) We completed a pntfiminary inquiiy, refened from another agency, of a senior official alleaed to lww misused Gowwnment equipment, information systems, ind caterillfl services. The al19tions were atermined lo be withOut m•it and the milter wa closed.
(U) Other lnveltiptive ActiYiti11
(IJ) Leaks lnvesti1ations (U) The lnvestiptions Division niviawed hundl'ldS of closed cases from llCIOSS the IC. Going forward, the division will .,... In pp mltlptlon f0t those cases where M aaencY does not hM the autharity to investipte (multiple aaencies or programs) 01 where DOJ declined ctiminel prosecution. The division will conduct 9dministr1tive investitltions with IG lnvestlptors from affected IC elements to maximize efficiencies, expedite investiptions, and enhance Pl'iflerships.
(U) Joint IC IGIDaD IG Accountability Review
(U) In response to the SSCl's concerns reprdinc empl~ accountlbillty tor misconduct, we ant 1)111:nerin1 with the DoO IG to conduct a joint review on the disciplinary ICtions taken in response to substantiated mitconduct. This review wm commence In July 2012.
(U) IC /G Contract Fraud lnvesti1ations 1nd RtlCOWries Program
CU) The IC IG hlS undertJlkan an initiative to proac:tiwly identify false billinp by ODNI contl'ICkn. This lnwlves runnina a data intemiption prqJIRI and conducting investlptlons to idll'ltifY and address falsely billed costs. This pl'OIJ.-n will also be used to identity Oll9'Staffed fixed price contractS, resulting in potential future contrlct savi9.
{U) IC IG Compllint Intake Process (Hotline)
(U) The IC IG Complaint Intake Process, OI Hotline, provides• conftdential and re1i.1>1e source tor IC employHS and contrlCtcn ind the public to report fraud, waste, and abuse.
(U) Since the stand up of the IC IG in November 2011, the Hotline hlS received 105 contacts from the IC and the pneral public.
10 ;;:;;;:;::;;;::.;===:;===:;===::::=;; OFFICE OF T~E INSPECTOR GEl'IERAl OF T~E INTElllGCNCE COMMUNITY 0 SEMI ANNUAl REPORT
TOP SECllE'f 11 •Qf.911N
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(U) Management and Administration
ii:i1JFewo> In April 2012, the IC IG embllshed the M&A Division. M&A provides expertite in financial manapment, prccurement, human capital ~. facilities "*"llment, continuity of openitians, administration, information technolCSY, and communications to support IC IG operations. MIA alto n'lll'llllS the Inspector General's IC IG Forum responsibilities. The M&A Division Is compo9ed of two support branches- Administrative Services and Stnltelic Communications end Outreleh.
CU> Ad•inillrltiYI Services
(U) IC IG Forum. To flcllitMe collaboration, lnformltlon lhari111. and stratecic plennlng aman1 the IC OIGs, M&A staff supported three meetinp of the IC IG Forum this reportinc period.
(U) IC IG Ccnference and Awards. In an effort to improve efflclencles In FY 2012, we combined the Annu.I IC IG Cont.euc:e with the Annual IC IG "-ds Prqpm. The MIA staff is overseelna plannin1 and lll8CUtion of this all-day event scheduled for 30 October 2012. The NGA OIG will host the conf1111nce, which will take place et the NGA Campus East in Sprifllfl9kl. Conference pertlcipants will hlMt an opportunity to an Certified Professional Education credits and to network, exchenae ideas, ind honer colleaaues tor their oubtlndl"I Mll'ii.
\'DllF9YO). DurirW the reponina period, the branch built • foundlllon CllPlble of executina Its statutory nasponsibllltles. which included identll'Yina and hirina a new leedershlp tum, establishina office pis and objlctiws, and recrultina 1 new workforce. As specified In ICO 655, IC IG Awards Prc:wram.
( I . Sectian VI, the Review Board will receive, review,
CU) Durin1 this 111portins period, M&A staff also blpn dawelapment ol I new IC IG CllS8
ITllftllllll119t system. The staff captunld topical raquinlments and initi.ted pnllel efforts to enhance the office's IT infrastructunt. The IT infrMtruc:ture imp!"CNllnlltt effort it composed of
two P'-= Pl'8ll 1 inteilr'*s existina son.w.e to ITllnlll both in"91tiptive c.- and audits for the IC IG ......,,.Ml Phale 2 Is llYlhlm dw.IQPl'IMlnt fol rMl·time monitori111 of IC IG status of efforts thOfOUlh .., IUtOmlled deshboen:l.
(U) Slnllqlc Cammunication and OutrUcll · (U) The IC IG outruch activities for this reporting periOd included chairq and perticipltina In the IC IG Forum Md IC IG Forum Committees. plannlnc for the annual IC IG Ccnference and Awards pqram, devllopina the IC IG SlnDlk: Plan and Man"'"""'t fl1ll'l'llWCll'k. estlblilhinc 1n IC IG . Quality Alsurlnce f'ro8rlm. instituting 1 new records l1llflllllfl*1l system, and developing the IC IG'5 web pt"lltl1C9.
~ORN
and recommend nominations for the follow1n1 award clltepies:
• IC IG Lifetime Achievement Awatd - ------------ --• IC IG L.eldeBhip Award
• IC IG Audit Award
• IC IG Inspections Award
• IC IG lnvestiptions Awld
• IC IG Collltxntlon Award
(U) IC IG Slrablrlic Plen ..ct M..,...rnenl Fr...-..work. Conc:umint with the st.Ind-up of the IC IG, the M&A staff authored foundational documents establishillfl the man~ lrll118WOl't for the IC IG. Specifically, the IC IG authored I Ccncept of Opera~ions deliMllti111 roleS and responsibilities •nd orpnization of the IC IG office. The M&A slaff 1lso authored 1 Stnlteclc Plan detailing the office's short-term, medium-term, and lont-term pis atona with 1SSC1Cill:ed objectives, timelines, 1nd metrics eteatinc a ny ahead for the IC IG. The st.aft 11to facilitated the dMtopment ol other core processes and documentation, such es 1nn111I Mll'k plans 1nd standard operatinc procedures.
11
(b)(3)
; . .. < (U) ·Manage.ment and Administration
(U) IC IG Quality Aannce Pft:9'im. The MIA Division -blished a Quality AD.nnc:e . CQAI ~ to enan appropriate officials are kept informed of the IC IG's activities. findinp, recomrnend.aions, and accomplishments as consislent with the IC IG's mission, statutory authority, Ind confidentiality requirements. /Its of this reportin1 period, we have retained 1 QA pn.vam mlMll\l!f' Ind 11'9 in the process of estlblishing the foundation faf I QA prqpm.
(Ul Webslta Raltrueturing and EnMncement. As part Of the IC IG autreach initiative to improve the reporti!li of fraud, waste, abuse, and mlSl\'IMll9fl'l8n and to il'ICl'ae .....,.. rA the IC IG, the MIA staff initiated I series of Wlb ~ impnM1111tnts. Currently the IC IG maint.ai"'\J
[ __ ~ ,--~ l
(U) Also,. the ODNl's unclassified website, DNI. p, infQITRS the public about IC 1G activities and provides contact information. UP9'ades lo the dasSfied websites are underway belinning with the ODNlllC Empk¥!e website. We subsequently intend to apply these improvements to the other websites to ensure a common experience and for those seekq lo report fraud, waste, abuse, or misconduct, a reliable, user friendly interface.
(U) IC IG Recantr. Manaeement. Dunne this reporting period the M&A staff WOftced with the ODNI Information M111aaement Office to restructure its electronic records system to ensure compliance with ODNI policy and Archivist Of the United States requirements conceminc official P'l!fllment records. The office is emplQi'/iftl Microsoft Sharef'oint to manaee recantr. during creation and NII created a compliant, electronic l9COfds system usin1 the ODNl'i shlf9d drM!s .
. ___ l _______________ _ O An uncllllified website for IC.Wide
colllbot'ltion bltw9ln Inspectors 0.11911.
12 i5i:iiiiiii=:==s;;;;;;;;:;;:;s Off ICE Of THE INSPECTOR GEtlERAl OF THE INTELLIGENCE COMMUNITY 0 SOil ANNUAL REPORT
~R~
(b}(3)
T 0 P SEC R E'T"l'Mi.Q.(.OR N
~ In .c:cordllnce with Sctlon 103H of the Nltion1I Security Act of 1947, IS lllWldld, the IC IG hM I sep1rile Coun11I who reports directly to the IG. The IC IG Coun11I prcvid• independent, objective, Ind confidentill lepl ldvice on 1
variety of lepl and policy issues that impact the IC IG mission. The Counsel inanlPI three main portfolkis: Lepl and Palley Reviews; Leaislltive Reviews and Ccqressional ~ts; and lntellipnce Owniaht.
{iUJFauo> Upl and Polley Reviews (U) Duri111 this repartq period, the Counsel WIS enpjllld in I robust outnllch effort to the IC IG stiff, ODNI components, and other IG Counsel countarptrts to educate them on the estlblishment of the IC IG. BeclUll the IC IG has broed statutory . 1uthority to Identify 1nd review le.wide Issues, the IC IG Counlll worlcld to ensuni thlt this authority was understood by IC, ODNI, Ind IG stakeholdtn. Thlt required collllbcntina with other IC IG Counsel on crau-jurildictionll issues u.t mtu in conductina IC IG 1Udits, inspections, lll1d reviews. The Counsel fostanld workirc relationships with ODNl's Office of General Counsel, Office of Civil Liberties and Prh11ey, Office of Equal Employment 1nd Diverlity, and other policy and complilnce offices on ODNI policy matters thlt Impact the IC IG Mission. To ensure lepl sufficiency, the IC IG Counlll worked with the IG, the Deputy IG, and the AIGs to review 111 pl1ns, projects, 111d reports. Finllly, the Counsel particil)lted in CIGIE Ind Federll LIW Entorcement Traini111 Cents lepl trlinina far crimlnll and clvtl ll'IVlltiplDrs, covertna such IS1Ues a wartcplace ..ches, employee rilfrtS, Ind ldministrltive il!Vlltiptions.
lilwauotl.81111atlvt Reviews (U) The IC IG hlS 1 mtutOry obliption to make 1pproprilte recommendations for llliSlation that promote economy, efficiency, ind effectivenm in the ldministrltion and implementation ot prqvams and ICtivities within the responsibility and authority of the DNJ. To meet thlt obliption, the IC IG Coun•I ownees a dedicated Leaisllltive Counsel that works with the ODNI Office of General Counsel Ind the Office of Lea1s11tive Affairs to review
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{U) IC IG Counsel
lelillltift propouls thlt lfllPKt the DNl's missjon. More&Mr, the L.elislative Counsel works with the Councl I of Counsels to Inspectors General to ensure that the IC IG Ind stiff are awani of leiislltive propOyis impactina the Federal IG mission. The IC IG did not make any feaislative propo5als duril18 this reportina period. However, workina throu&h the Leaislltive Counsel, the IC IG Counsel was able to ensure that IC IG equities Mn considered in several critical pieces of teaislation.
ClrnPeuo> Con11'9ssional Enppmtnts (U) The IC IG his an obllption to ensure that the c:orvession1I overslaht committees are kept fully 1nd cunently informed of sianificlnt problems 1nd deficiencies within the proar1ms and 1etivities of the ODNI. Accofdi"lly, the IG tasked the IC IG Counsel to create 1 robust CCJ19111Sionll outruch propam. Under that prcllfam, the IC IG Counsel, throuah the Leaislative Counsel, developed a strlte&Y for meetina conanissionll reportina requirements; respondil18 in a timely manner to congressionll requests for meetinp, briefinp, hllrinp. Ind inforntion; and enswina appropriate coordination with IC IG Forum members as wall as ODNI components. As hiahli&hted previously in this report, the IC IG hlS had several enpaements with c:onaressional oversi&ht committees duri111 this reporti111 period.
l1l11POUol 1ntelli19nce Oversilht (ICJ) Capalllllty (U) The IC IG's broad statutory authority to review systemic IC-wide deficiencies and rn1ke appropriate l'9COITlmendations far correctlW .c:tions wa envisioned to addtess the most critical problems laclrw the IC today. Information sh•i"I. imp18mentation of intelliaence collection authorities under the USA PATRIOT Act Ind FISA Amendments Act, IC contractor fraud !JChemes. and unauthorized disclosures are just 1 few of the IC-wide issues that the IC IG will lddress under this 1uthority. Rec•izlna thlt these reviews h8118 cross-
. jurisdictional issues, the IG ta5ked the IC IG Counsel to establish a workina &rOUP to determine options far dlvelC>Pinl 1 full 10 caplbility. The workilll lfOUP is chlfled with definina the requiremerrts, resources,
13
, ·.ru> IC· .lG ·counsel
and ~ for Ill 10 c.pebillty lltld will malat ~to the IG by the 11'1<1 ol the nut temillW'lu.I ,.portinl period on how belt to prDC81d.
<U> 1n1em.-c1 Ovtl'lllld 111n1 <IOI> RellOllinl (U) The IC IG Counsel llMI • the prillllfY point of contad for 108 rnatt9'S IS pm't ol the brOlder IC IG 10 mission. Putsuant to Section B(bXiiJ of Executive Ord• 13462: Presidlnt's lntellilence Advisory Board Ind lntellilence Oversitht Board, the DNI deSitJ!lted the IC IG as one ol the entities within the OONI respomMblt for submlttlfll reports to the IOB. Durina the reportina period, the IC IG
Counsel WOltltd dllilently to updltAI the ODNI IOB desi&Ntions to refleCt the IC IG statutory satus.
1tJmreYOUhe IC IG Counsel worts closely with the IOB Counsel to ensure thet IOB reportable mattels within the responsibility Ind luthorit)' or the IC IG n niported to the IOB in 1 timely and consistent manner. Morea.ter, the IC IG Counsel worlcs with the. ODNI Office ol General Counsel Ind Civil Liberties and Protection Office on 108 ftPQltable matters referred to the IC IG for ldditional nwitlw and followup. The new reportine constJuct allows the DNI and the IOB &JUtar insiaht into matters reported within the ODNI and the IC Ind will allow the IC IG to conduct objecti11e reviews ol IOB ~· matters.
14 iiii:ic:=iiSiliiiiiiiSiiiiiiiii OFFICE OF THE IN&PECTOR GENERAL OF THE ll'ITELLIGENCE COMMVNITV O SEMI ANNUAL REPOl'll
~
TO~
(U) IC Inspectors General Activities
CU) IC • fanm ~The llltutOry IC IG Forum was
ablblilhed bytht lnlellillnce Auttloriutian Act for FY 2010. The IG chairs the Forum, which ia c:ompolld of IC lnspectcn Ganerll with cwsilht responsibilities for IC elements. The IC IG Assistant Inspectors Genni chair the Forum subcommittees. Forum members coll8barate on IC-wide projects: sh.,. informlllian and best practices: resolve jurisdictional issues; and facilitate acx:ess to employees, contractors, Ind other materials that may be of assistance to Forum members. The IG uses the Forum to understand Ind prioritize ICwide Pft>ilCIS, to Mell key IG stakiehold• buy-In on pnJjecta, Ind to CIMIOp stnMps on how to best ,.,... limited IG resources Kl'OIS the community.
~) Duri"I this reporting period, the IG met lndividu.lly with lnspec:tars Genni with intellifllne• CM!'ll&hf reiiponslblllti. to faster Forum colllbonltian. ThoM intnctlons ...... the IG in dlMtlopirw • •-. Ind 111 lmplemenbltian plan for the ltltutDfy IC IG Forum. The Forum held its inauipnl mllllrwon 19 January 2012, 1nd held productMI meetil'llS in r..ch Ind June.
<UHtouo> The Forum members created the following five committees: Deputies Ccrnmittee (Chair: Deputy IC IG; Mtmbenk Forum Deputy 165); Audit Commit* (Chair: IC IG AIG for Audit; Members: Forum AIGI for Audit); Inspections Commlttll CChlir: IC IG AIG for Inspections; Mernt.s: f«um AIOI for Inspections); lllVIStiptlons Commlttll {Clllir: IC IG AIG for lnWIStiptions: Members: FORllll AIOI for ll'!Wlltiptlons); Ind COUnsels Ccrnmittae (Chair: Ccunlel lo the IC IG; Members: Forum IG Colmsels).
lVIFQUQt-.,... Cammittll. Durtrw the niportlrw l)llriod, the Deputies met to colllbarlte on issues irnpKting the Inspectors Ginni from both 111 IG Ind an IC pel'lp!ICtM. The Deputies focused on CIGIE standards, dltl calls, tniining apportunities, IC IG Confenlnc:e plannil"ll. and the IC IG Awards Pqram.
~Audit CammllllM. The Audit Committee met sewral times duri111 the reportlrw piriod.
Committee members discus* Of'1110ina audit projects, the development of work plans, and the !lbllus of IC-wide conaressionally directed actions.
~ ............... c::.n.nm.e. The lnvestiptions Committee met -al times durtrw the reporting period and discUSSllld inwstiptlWI best practices, joint investiption procedures. retirement benefits for criminal lnvestiptors, Ind training opportunities for lnvestiptors.
~ 1...-tiwConunllllle. The Inspections Committee mat twice this reporting period and dlscUSSllld inspect« trainilll requirements, status of voluntary Peer Review activities, and plans for the first IC.wide inspections. Committee members shaiecl Ind discussed their respective work plans.
~ c..m.la Commilllllt. Th• Counsels Committee met .... 1 time& durina the repartina period Ind discus&ed jurisdictional illllues for IC-wide projects, lelisllltiw impids to the IC IG community mission, and trlinfrw opportunities to bett. educllle the IG !Mll1lforce. In addition, the Col.rmls coordinatlld on_... IG ~ 81lpl8i'l'lltlts,
includirw the SSCI Hail'fl oo 5 June 2012.
CU) IC-Win Traini111 CUJ The Office of the IC IG llCtively perticip.lted in a wide ranaie of coan:linlltion and collabcntlon activities desilned to increase its koowledp of and contribution to IG oversipt within the F~I Gi:Nnment. "11 eumple of this collaboration wa the IC IG-hosted Suspension Ind IJeblnMnl trainlnc saniner, which was pl'Olided to IC IG Forum ilMStlptors and attorMys.
~ The IC IG routiNlly supports CIGIEsponsored ninina courses pnMded by the Fedenll U1W Enforcement Training Center. By teaching the ltlPI saipnents of those tralninl COUtSeS, the IC IG assists CIGIE in meeting its training mission.
(U) IC IC Petr Rftiew Activitin CUJ Ouril'fl this raporting period the IC IG did not particil)lte in ""1 peer NView activities.
( U) Append ix A: Statistica I Overview
(U) Audi Std ~ The Audit Staff c:omplWld 5 .udits
and illued r9PQttl conblinirc 27 recommendations to llf'enllhen internal controls fNfll fin1ncial matllfllllTMJl'l and lnfcnnltion technolc&Y. M the end ol the reportirc period, the Audit staff hid three Oft-llli• audits.
(U) Inspection Stal
~ Inspection Staff aimpleted tine inspections. At the end of the reportq period, the inspection stiff had two on&Oina inspections.
(U) lnvestiptions Staff
~The lnwstiptions Division completed work on 12 llpcy ODNI OIG mal.1ft of various types. Of the 12 c:nes, 6 were of sufficient significance to be the subject of a report of investiption.
~Ourilll the reportin1 period, the IC IG did not refer any criminal matters to DOJ.
1tmf'9uol.purin1 the reportilll period, the lnwstiption Staff identified appn!llimately $11,000 in t'llCCMl'lble funds.
~As of 30 June 2012, the lnvestiptions Division hid 9 opan investiptions <not includirc unautllorized disctosure matters>. ~The lnwstiptions DMlion is revilWll'll 375 uMUthorized disdOsure case files.
11 iS:ii:ii5iii5iiiiiii=sE:;;;;;;; Off ICE OF THE INSPECTOR GENERAL OF lH[ INlElllCEHCE COMMUNITY O SEMI ANNUAL REPORT
~
, U Co 11p •'t•'tl 1\11d t, I
flllMclllll 11111111111 ti
........ TlclulollD
u O!HJJll J l'.1,(1.
..... 2-001
(U) Appendix B: Summary of Audits 8 November 2011 - 30 June 2012
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(U) Strategic Goals and-Objectives
0 (U) Eatabliah IC IG Foundation • IU) Develop policy, mffi111o and ttaini11r documentation.
• (U) Publish an IC IG Strateaie Plan Ind a Concept t:I OpfntionS.
0 (U) Implement and Fulfill IC IG's ODNI Miulon • (U) Prepere. p1.,,, develop, Ind implement a solid fCXJndltion for the sustainment of OONI
foc:u-1 Inspections, IUdits, and lmatiptions.
• CU) Develop 1 communicatiofl and outreach plan.
• (U) Incorporate continuous impnwiement of economy. etrlcienc:y, effectiveness, and intelration into ODNI cpsations.
0 (U) Implement IC IG's IC-Wide Mission
• (U) Lead and ........ the IC IG Forum to develop 1 foundation and the procedunis f« IC-wi«M inapections, audits and inwstiptions.
• CU> Establish 1 comP1911erisMt IC-wide peer rwiew program.
• (UJ Develop 1 communication and outruch plan for IC-wide efforts.
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FOR THE PERIOD OF 8 NOVEMBER 2011 TO 30 JUNE 2012
IMPORTANT NOTICE
THIS DOCUMENT IS INTENDED SOLELY FOR THE OFFICIAL USE OF THE OFFICE OF THE DIRECTOR OF NAllONAL INTELLIGENCE, OR ANY
AGENCY OR ORGANIZATION RECEIVING A COPY DIRECTLY FROM THE OFFICE OF THE INSPECTOR GENERAL OF THE INTELLIGENCE COMMUNITY