CONGRESS AND DCI AREA RESPONSIBILITIES

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06467603
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 22
• Document Creation Date: March 8, 2023
• Document Release Date: August 16, 2019
• Case Number: F-2009-00490
• Publication Date: April 19, 1995

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OFFICE OF THE EXECUTIVE DIRECTOR
19 April 1995
NOTE FOR:
FROM:
SUBJECT:
Deputy Director, Congressional Affairs
Executive Assistant, EXDIR
Congress and DCI Area Responsibilities
1. Most of the offices in the DCI Area report that they
either have no contact with Congress or contact only through
requests from OCA. The following are specific responses
provided by three offices to the questions that were tasked
at the task force meeting last week.
What policies do you now have in place that outline
the kind of information you expect your staff to alert
you to?
ACIS management has a variety of formal and informal in-
house mechanisms for staff to alert them to substantive
information in the following two broad categories which are
of interest both to Congress and to the interagency working
groups focusing on arms control-related issues:
-- Foreign non-compliance with existing arms control
treaties or agreements;
-- U.S. ability to monitor existing or prospective
arms control treaties.
ACIS produces periodic monitoring reports assessing
foreign activities associated with compliance with agreements
with which the U.S. is a participant. These reports serve to
inform senior management and the policy community, and
provide the basis for the President's annual compliance
report to Congress.
The Public Affairs Staff guidance specifically states
that a role of the staff is to "Alert and consult with Agency
management on breaking news stories concerning the CIA."
This includes the Director of Congressional Affairs. All
staff members whether they deal with the general public or
the media are alert to issues which should be reported to
Agency senior officials. Our experience has been that the
media is often the first to alert the Agency -- sometimes
well in advance of a story appearing in the press -- which
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has significant and broad impact for the Agency. The White
House, Congress, and other Intelligence Community agencies
are also frequently impacted by such stories. They are
alerted either directly, or in the case of Congress, through
the Office of Congressional Affairs (OCA). There are also
periodic Agency meetin s which are desi ned for r
such information--
Each
of these is frequently used to alert management to breaking
stories or new developments in on-going stories.
The Equal Employment Opportunity Office holds twice-
weekly meetings with the EEO complaints investigation staff
are used to identify potential problem cases which need to be
raised with senior Agency management and which may result in
adverse publicity/Congressional attention.
Besides statutory, regulatory, or financial reporting
requirements to Congress, are there any types of
issues or information you deal with that require a
judgment call on notification?
ACIS handles Intelligence Community support to the
annual arms control treaty compliance report that the
President submits to Congress. They prepare the DCI's
testimony to Congress on the U.S.'s ability to monitor arms
control treaties. They coordinate and produce the
interagency intelligence and counterintelligence assessments
of the various arms control treaties and international
agreements that are presented to Congress and to the NSC on a
periodic or ad hoc basis. All of the above involve judgment
calls by the interagency arms control community where ACIS
plays a central role.
Public Affairs notes that almost all of the items with
which the office deals fall into the "judgment call"
category. The members of the Media Relations Branch, in
particular, are attuned to the types of issues which require
alerting OCA and the front office. Generally these include
, but they may include
a cusa ions o 2 legal activity, or CIA managerial issues
such as the recent class action suit, the Aldrich Ames case
and others.
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Judgment calls on notification for ERO are required when
complaints involve allegations of misfeasance, malfeasance,
nonfeasance or wrongdoing, or in cases where complainants,
inform us that they have approached members of Congress.
What committees do you notify or report to?
ACIS reports primarily and routinely to the Senate
Select Committee on Intelligence, which has ongoing oversight
responsibilities. They report less often to the Senate
Foreign Relations Committee, which handles arms control
treaty ratification in the Senate. They report occasionally
to the Senate Armed Services Committee. ACIS has some
contact with the House Permanent Select Committee on
Intelligence over budgetary matters. Very rarely, the office
has contact with the House Appropriations Committee.
What mechanisms do you use to notify Congress (formal,
informal, direct, through OCA)?
Any contact with Congress by one of the Independent
Offices is made through OCA, the Comptroller, or the
Community Management Staff. ACIS reports that they have
tried to establish good working relationships with key
members of Senate committee staffs, whom they brief
informally on key issues to be covered later in formal
testimony. They are always accompanied by an OCA
representative on these occasions. They also backbench
policy testimony on request.
How do you define timeliness of notification?
The Independent Offices reported that timely
notification is measured from minutes or hours (in the case
of Public Affairs), to days, or by designated response dates.
What mechanisms do you have to ensure others in the
Community are notified?
C/ACIS chairs the interagency Arms Control Coordinating
Group which meets every two weeks and which includes senior
representatives from the Intelligence Community, the On-Site
Inspection A enc and the Arms Contro d �
Agency.
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ACIS Group Chiefs and working-level personnel
maintain a regular ad hoc dialogue with their counterparts
throughout the intelligence and policy communities. In
addition, ACIS coordinates periodic reports on arms control-
related topics regularly throughout the Intelligence
Community, including the President's annual arms control
treaty compliance report to Congress as mentioned above.
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Public Affairs has initiated an on-going IC Public
Affairs Working Group composed of Public Affairs officers
from each of the IC Agencies. The group meets periodically.
A primary purpose of that group is to create reporting links
among the Community PA organizations. We are in frequent
contact by phone and fax with these individuals covering
current breaking stories.
T will be late for the meeting tomorrow. Either
rill attend for me.
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OFFICE OF COMPTROLLER PROCEDURES AND PRACTICES FOR
KEEPING CONGRESS INFORMED
Presentations at Hearings, Responses to Questions for the Record,
Briefings, and Answers to Oral Questions
Each year, the members and staffs of the HPSCI, SSCI,
National Security Subcommittee of the HAC, and Defense
Subcommittee of the SAC seek additional information on the CIA
budget submission for the next fiscal year.
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Responses to "Congressionally Directed Actions" (CDAs)
� The unclassified and classified committee (including
conference committee) reports and annexes accompanying each
year's intelligence authorization and appropriations bills
and acts invariably direct CIA to prepare and submit special
studies or reports (such as strategic plans), take certain
actions, and/or comply with certain restrictions (for
example, "fence" certain funds until a strategic plan is
presented). Such CDAs may call for a one-time report or
action or may establish "permanent" standing requirements
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for periodic reports or ad hoc notifications. OCOMPT also
handles as CDAs certain resource-related directives in the
intelligence authorization and appropriations acts
themselves.
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Congressional Reporting
A. Semiannual Reports to DCI 1 Jan - 30 June;
1 Jul - 31 Dec
1. IG to DCI within 31 days
DCI to Committees within 30 days
2. Covers 6 areas
a. significant problems
b. recommendations for significant problems
c. status of action on past significant
reconanendations
d. full and direct access
e. failure to get information for lack of
subpoena authority
f. recommendations for legislation
B. Immediate Reports to DCI
1. particularly serious or flagrant problems,
abuses or deficiencies relating to programs/
operations
2. DCI provides to Committees within 7 days
C. Immediate Reports to Intelligence Committees
1. IC unable to resolve differences with DCI
2. investigation focusing on DCI
3. unable to obtain significant documentary
information
D. IC Reports Requested by Intelligence Committees
1. Requested by Chaitman or Ranking Minority Member
2. DCI obligation to provide
3. Now includes "findings or recommendations" in
addition to "reports"
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20 April 1995
Matters Reported to Congress by OGC
1. Section 4(b) of the CIA Act requires notification
to the intelligence committees of regulations establishing
allowances or benefits for operational or cover reasons.
Form: This notification is made in written foLit.
Timing: 30 days prior to effective date of regulation.
Agency (internal) rocess:
3. Annual reports and briefings to HPSCI and SSCI on
use of certain intelligence collection techniques and on
counterintelligence cases involving U.S. persons. Required
by HO 12333. Prepared by DO with OGC coordinating.
4. Additional ad hoc notifications or briefings not
specifically required by statute, exec order or regulation.
We brief oversight staffers on litigation matters
frequently involving personnel matters and/or media
interest.
We brief members of Congress who have expressed areas
of concern or interest of matters in which we believe they
would be interested.
5. Where Congress has imposed certain country specific
limitations on US action/policy, we brief on planned or
proposed agency operations that may relate to those country
specific limitations.
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CONGRESSIONAL REPORTING REQUIREMENTS
WITION lilt DIRECTORATE OF ADMINISTRATION
1. The Deputy Directorate of Administration (DA) has no directorate-initiated
reporting requirements to Congress. All current reporting is mandated by regulation or
statute. These requirements are described in the first subsection (below),
"Statutory/Regulatory Reporting Requirements to Congress."
2. Within the DA, event-driven issues may that necessitate reporting to Congress
and the Intelligence Community. In other cases, a reporting requirement may be driven by
the language of an appropriations committee report. Reporting mechanisms for both cases
are described under "Ad Hoc Reporting to Congress" subsection. Regardless of the
genesis of the requirement (i.e., by statute, event; or appropriations language), the DA
works directly with Office of Congressional (OCA)�and at times, with the Office of the
Comptroller�in all reporting to Congress.
3. A third category of requirements involves reporting to other agencies.
Examples of these requirements are provided under the subsection entitled "Special-Issue
Reporting to the Intelligence Community and Federal Agencies." This subsection is not
intended to be exhaustive, but provides insight into the broad range of reporting
uirements within the DA. Questions on this document should be directed to
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Statutory/Regulatory Reporting Requirements to Congress
4. As the following bullets indicate, for most statutory/regulatory issues, the DA
primarily reports to the two intelligence committees, the House Permanent Select
Committee on Intelligence (HPSCI) and the Senate Select Committee on Intelligence
(SSCI):
� CIARDS Annual Analysis of Designation of Participants. In accordance with Section
203 of the CIA Retirement Act, the Office of Personnel (OP) must file a written report
annually with the HPSCI on CIARDS participants. Proposed regulations or changes
to CIARDS law must be submitted to the intelligence committees not less than 14 days
before they take effect.
� CIA Voluntary Separation Pay Act. OP must submit a written report to the HP SCI
and the SSCI 30 days in advance of offering employees voluntary separation pay.
� Obligation of Prior-Year Funds in Excess of $25 Million. Title 31 U.S.C, Section
1553, limits the use of prior-year funds. In accordance with this statute, intent to
obligate expired fiinds must be provided in writing to the appropriate authorizing
committees of Congress and to the House and Senate Appropriations Committees.
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The notice must provide a description of the legal basis and the policy reasons for the
proposed obligation. The Office of Logistics works with OCA to submit this report.
The Agency is required to notify Congress in advance of the obligation, and there is a
30-day waiting period after Congressional notification.
� Metric Usage in Federal Government Programs. Executive Order 12770 (dated July
1991); Pub.L. 100-418, Section 205j-1 requires federal agencies to report to Congress
on actions taken during the previous fiscal year, as well as actions planned for the
current fiscal year, to implement fully the metric system of measurement. The Office
of Logistics works with the Office of the Comptroller to include this information in the
Agency's annual budget submission to Congress.
� Federal Use of Alternative Fueled Vehicles. Executive Order 12844 (dated 21 April
1993) requires the head of each agency to report annually on actions and progress
toward procuring alternative fueled vehicles. Reports are to submitted to the
Secretary of Energy, who prepares a consolidated annual report to the President and
Congress. The Supply Group of the Office of Logistics works with the Office of the
Comptroller and OCA to forward the Agency's report.
� Anti-Deficiency Violations. 31 U.S.C., Sections 1351, 1517(b) requires agency heads
to report to the President and to Congress all relevant facts and statements of action
taken concerning anti-deficiency violations. Immediately upon notification that a
violation has occurred, the Office of Logistics informs the Office of the Comptroller,
which prepares letters of notification for the DCI' s signature. These letters are sent to
the Chairman, HPSCI; Chairman, SSCI; Chairman of the National Security
Subcommittee of the House Appropriations Committee; and Chairman of the Defense
Subcommittee of the Senate Appropriations Committee. The President is notified by
the Office of Management and Budget (OMB). Notice is also provided to the
Department of Justice when administrative discipline is imposed.
� Construction and Improvement Projects. Section 602 of the Intelligence
Authorization Act for Fiscal Year 1995 (Public Law 103-359, signed on 14 October
1994), sets forth reporting requirements for:
-Construction Exceeding $750,000. Such construction must be reported in the annual
Congressional Budget Justification (CBJ) and the funds must be authorized and
appropriate. There are two exceptions: projects involving national security or
projects involving the protection of healthy, safety, or the quality of environment.
Both exceptions require a determination by the DCI and/or the Secretary of Defense.
Notification should be made in time for inclusion in the annual CBJ. If the project is
identified after the CBJ has been published, written notification from the Office of the
Comptroller must be sent to Congress as soon as the project scope has been defined.
There is a 21-day waiting period after Congressional notification.
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�Construction Ranging from $500,000 to $750,000. The DCI must submit written
notification to the intelligence committees (and other appropriate committees)
specifically identifying any project or improvement that will exceed $500,000.
Notification must be made at least 21 days prior to project commencement.
�Proposed Lease with Expected Annual Full-Service Costs Greater than $500,000
and/or the Proposed Leasing of More than 20,000 Square Feet of Building Space.
Written notification through the Comptroller to the intelligence committees for leasing
under delegated or one-year authorities is required two weeks prior to signing any
lease or contract; follow-on briefings to Congressional committees are provided if
requested.
�Lease-to-Purchase Agreements. Written notification through the Comptroller to the
intelligence committees is required two weeks prior to the signing of a lease or
contract. Prior coordination is required between the Office of Logistics and the Office
of the Comptroller due to OMB and/or Congressional restrictions.
�Purchase of Real Properly in Excess of $500,000 Per Year. Written notice and
approval from the intelligence committees is required two weeks prior to the signing
of a lease or contract. Follow-on briefings to Congressional committees are provided
if requested. Unclassified notice is also provided to the Public Works Committee via
the Office of the Comptroller.
�Use of Agency Special Authorities to Waive Prospectus Notification Requirements
for Lease of Real Property with a Project Annual Cost, Including Amortized
Alternation costs, of $1,670,000 per Fiscal Year; or, Renovations Greater Than
5850,000 per Fiscal Year. Written notification and justification through the Office of
the Comptroller to the intelligence committees is required 30 days in advance.
Follow-on briefings to Congressional committees are provided if requested. The
General Services Administration (GSA) is advised of encase acquisitions using
delegated or Section 8 authorities.
� Conduct and Discipline. Per 'the General Counsel serves as the DCI' s
designee to the Office of Personnel Management and to Congress on all conflict-of-
interest matters. The Office of Personnel Security (OPS) provides reporting, i.e.,
SF450 disclosure forms, to OGC via the DA's Center for Support Coordination.
� The Right to Financial Privacy Act (12 US.C.). In April of each year, the Office of
Financial Management (OFM) provides an annual report to the intelligence committees
identifying all requests (known as National Security Letters) for financial records of
any customer of commercial banking institutions. UPS retains the authority to
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conduct NSLs, but the responsibility has been transferred to the Counterintelligence
Center of the DO.
� Annual Freedom of Information Act (FOIA) Report to Congress. By March of each
year, the Office of Information Technology (OIT) files a written report with the Vice
President of the United States (in his role as President of the Senate) and the Speaker
of the House of Representatives detailing CIA accomplishments in processing FOIA,
Privacy Act, and mandatory declassification review requests submitted under the
provisions of 5 U.S.C., Section 552(d) and Executive Order 12356. The report,
signed by the Deputy Director for Administration, provides detail on the total numbers
of requests and appeals; the names and titles of CIA officers responsible for denial of
requests; and costs of administering this program.
� The Establishment of a New Security Protective Service (SPS) Post. The Office of
Security Operations (OSO) submits to OCA a written report for the SSCI and HPSCI
30 days in advance of the establishment of a new SPS post.
Ad Hoc Reporting to Congress
5. The following issues, while not mandated by statute or regulation, also involve
Congressional notification-
� Overseas Construction Security. The DCI has delegated to the Center for Security
Evaluation (CSE)/DA, the task of advising the Secretary of State on overseas security
issues, particularly related to construction. The Construction Security Working
Group, chaired by the CSE, forms the Intelligence Community position on such
construction projects, and the Secretary of State, after consulting with the DC', is
required to report to .Congress. In practice, however, the CSE frequently receives
requests to brief individual Members of Congress on overseas security when a Member
plans foreign travel. The most frequent requests are for briefings on the "Hard Hat"
construction project, the partial tear down and reconstruction of the Moscow
chancery. Briefing requests are funneled to CSE through the DA representative to
OCA, who accompanies the CSE briefer.
�
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Special-Issue Reporting to the Intelligence Community and Federal Agencies
6. The DA notifies other agencies on the following types of issues:
� Death of Employee. The Office of Medical Services (OMS) must report the deaths of
all employees from on-the-job accidents or injuries to the Department of Labor within
24 hours of the time of death. Notification is accomplished by telephone.
Emjpjpyee Emergencies, Unforeseen Absences, and Deaths (Outside CONUS). Per
in the event of the death of an employee or an employee's dependent
outside CONUS, OPS will coordinate with the Department of State (via telephone and
in person) to prepare for the shipment of remains and personal effects in accordance
with law, Agency regulations, an Department of State guidance.
� Attempted Exploitation of Government and Contractor Employees. Presidential
Decision Directive, National Security Council 12 (dated 5 August 1993), requires
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agencies to report promptly to the FBI any contact with a foreign national in which
illegal or unauthorized access is sought to classified or sensitive information, or if an
employee or contractor may be the target of actual or attempted exploitation.
Government employees must report to Contracting Officer Security Representatives
(COSRs), who refer the case to the CIA's Director of Personnel Security. Contract
employees are required to report incidents to their contract managers who, in turn,
must report immediately to the FBI, then to the CIA. If such an approach is made at
overseas installations, employees must report to the Department of State, who will in
turn report the information to the FBI. No format is specified for the notification.
� Prompt Payments. In accordance with the Prompt Pay Act, OMB Circular A-125, by
30 November each year OFM provides a written report to OMB (via the Comptroller)
on the amount of interest penalties paid and why the penalties were incurred.
� Report on Financial Position. By 15 November each year, OEM compiles a report
for the Treasury Department on assets, liabilities, and equities against the Community
Management Staff (CMS) appropriation. The report is sent electronically.
� Report on Operations. By 15 November each year, OEM compiles a report for the
Treasury Department on revenue and expenses against the CMS appropriation. The
report is sent electronically.
� Report on Cash Flow. By 15 November each year, OEM reconciles with Treasury
Department the beginning and ending find balance and cash against the CMS
appropriation. The report is sent electronically.
� Statement of Transactions on CIARDS Investments. OEM compiles for the Treasury
Department monthly reports and an annual reconciliation, due each 30 September, on
CIARDS investments. The report is sent electronically.
� Report on Obligations Against CIARDS Appropriation. OEM prepares a monthly
written report, via the Office of the Comptroller, for OMB.
� Report on Unexpended Balances of Cil/IS and CIARDS Appropriations and Funds.
By 15 November each year, OEM compiles a report for the Treasury Department that
is sent via the Comptroller. The report is sent electronically.
� Hazardous waste spills. OMS must report all spills within two hours of their
occurrence to the Environmental Protection Agency officers at the county and state
level (as appropriate) and the US Coast Guard. Notification is accomplished by
telephone.
� Environmental Reporting. The Office of Medical Services answers any Congressional
questions for the record on environmental issues. These responses are coordinated
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through OCA and the Office of the Comptroller, and may include input from other
CIA offices (such as the Office of Logistics).
� Mandatory HIV Training. The Office of Medical Services (OMS) also provides
written quarterly reports to the Office of National Aids Policy on CIA compliance with
this initiative.
� Defeat of Safes and Locks. The Office of Security Operations is responsible for
reporting to GSA and to other Intelligence Community agencies any developments on
techniques to defeat safes and locks, if the technique falls within GSA specifications.
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Congressional Notification Procedures in the DI
Notification Responsibilities
The Directorate of Intelligence, in addition to a
general requirement to keep Congress fully informed, also
must notify Congress of significant anticipated intelligence
activities and significant intelligence failures. There is
also a requirement to report certain criminal activity,
normally handled via OGC to the Department of Justice. A
new area of notification res onsibility concerns analytic
support and responsibilities
here are no c ear y
Notification Policy/Procedures
The Directorate has relied traditionally on using the
National Intelligence Daily (NID) as the vehicle for keeping
Congress fully informed on substantive issues. The NID is
sent to the HRSCI, House International Relations Committee
(HIRC), House Appropriations Committee (HAC), House National
Security Committee (HNSC), the SSCI, Senate Foreign
Relations Committee (SFRC), Senate Armed Services Committee
(SASC), and the Senate Appropriations Committee (SAC). More
recently the Directorate has sent the Daily Economic
Intelligence Brief (DEIB) to the HRSCI, SSCI, and HIRC, and
weekly sends the DISelectedIntelligenceProducts document to HRSCI,
HAC, SSCI, and SAC. The Proliferation Digest and the International
Energy Statistical Quarterly are other items that traditionally go to
Congress.
DI policy on notification has shifted in response to
the growing importance of tactical intelligence products
that are not routinely captured in the NID. In 1992, the
ADDI authorized the delivery of all DI products to the HRSCI
and SSCI. The SSCI declined the offer requesting to
continue to receive a list of publication titles. The HPSCI
staff declined to continue the program after receiving DI
products for 18 months.
At present, the Executive Assistant to the DDI monitors
all DI intelligence products and alerts the DDI or ADDI
whenever he senses the product contains an issue that is
important to Congress or there is a significant intelligence
failure of an analytic nature. The DDI/ADDI will make a
decision as to whether to brief or inform Congress on the
substantive conclusions but not without first notifying the
Administration and alerting the DCI and OCA.
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/These programs are briefed to Congress on a
routine quarterly update or as needed.
Timing and Handling of Notification
The timing of Congressional notification varies
depending on the impact of the intelligence on policy and
the degree to which the Administration presses for a delay
in notification. In general, DI notification takes the form
of written products (NID, DEIB) but occasionally is
presented orally through a briefing. The DI conducts about
40 percent of all CIA briefings to Congress and the
overwhelming majority of these are requested by members.
The DDI has also recently begun a program of quarterly
substantive briefings for senior staffers on the oversight
committees.
Issues and Concerns
Congress is a customer of DI products as well as an
overseer. Because Congress requests so much information on
their own, it is difficult to establish a threshold or
standard for notification. The problem is compounded by OUT
relationship with the Executive Branch and its role with
Congress. Any guidelines on notification that the DI does
develop will need to be approved by the Executive Branch.
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SUBJECT: Current Directorate of Operations Notification
Procedures
1. Congressional notification' in the Directorate of
Operations (DO) currently is governed by the statutory
requirement to "keep the intelligence committees fully and
currently informed of all intelligence activities.. .including any
significant anticipated intelligence activity and any significant
intelligence failure." With many issues, however, precise legal
definitions of the terms "anticipated intelligence activity" and
"significant intelligence failures"--and thus the reporting
requirements associated with them--are lacking. The absence of a
clearly defined threshold--on either the DO or the Congressional
side--means the DO's judgement regarding the threshold will not
always accord with that of the oversight committees. Likewise,
the absence--until recently--of a formal mechanism for reviewing
issues that might require notification compounded the likelihood
that some would be overlooked. This is particularly troublesome
for the DO, given the high-risk nature of its business and the
consequent level of Congressional interest.
2. The following outlines current practices:
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Recipients of Notifications. The range of recipients includes
Congressional oversight committees, the National Security
Council, and other executive branch agencies, with a different
threshold for notification for each entity. Recipients of
notifications are determined on a case-by-case basis depending on
the nature of the information being considered for notification.
In some cases, the nature of the information may preclude
Congressional notification, particularly if it pertains to
policy- or law enforcement-related issues. For example, DoJ
might bar notification to Congress of an issue related to an
ongoing prosecution, or the NSC might bar or delay Congressional
notification for a range of reasons.
I For the purposes of this paper, the scope of the term "notification" covers
only those ill-defined areas that fall under the terms "significant
anticipated intelligence activity and any significant intelligence failure,"
and not those areas clearly defined by statute, Congressionally Directed
Actions, CIA policy, or other directives.
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Vehicles for Providing Notification. Many notifications are done
orally via telephone; others are provided orally via briefings,
especially in cases involving very sensitive information whose
dissemination-needs �to be strictly controlled. More recently,
the fax has become the tool of choice for providing relatively
timely notifications to oversight committees, while maintaining a
precise record of information passed. The CIR may be used to
communicate with other executive branch agencies. Regarding
Congressional notifications, while written ones are passed almost
exclusively through OCA, oral ones may be provided by a range of
persons, including the substantive DO expert on an issue, the
DDO, ADDO, DDCI, DCI, or an OCA officer. The sensitivity and
importance of the issue generally determine who briefs it.
Timeliness of Notifications. Notifications can be made very
quickly, if time is of the essence. This assumes, however, an
issue has been identified as one requiring notification. Given
the lack of a mechanism--until recently--to keep the DO focused
continually on the need for notification, it should be understood
that there may be issues and activities that should have been
notified in the past and were not, thus creating the potential
for future flaps.
Procedures for Surfacing Issues that Merit Notification. As of 17
April 1994, a new procedure for surfacing issues for
Congressional notification was implemented. ORMS/CAG, the DO
Executive Staff, and the Office of the DDO are now coordinating
closely with components to ensure potential notifications are
surfaced on a weekly basis. Those issues determined to require
notification are forwarded by CAG to OCA for action. Sensitive
items may be handled by the DDO/ADDO directly, in coordination
with OCA.
Until this procedure was implemented, procedures were
largely ad hoc, taking place at more senior levels of the
Directorate. Notifications usually resulted from DO component
interaction with the DDO's office. In some cases components knew
they had an issue requiring notification and brought it to the
attention of the DDO's office; in others, components flagged a
troublesome issue for the DDO's information, with only the latter
office determining it was an issue requiring notification. On
occasion, some components raised issues directly with ORMS/CAG.
Notifications to the NSC or other executive branch agencies
may be carried out by the DDO's office or the relevant component.
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19 April 1995
DS&T Current Congressional Reporting Practices
(Input for DUI Ti? Phase I Reporti
1. What type of information/activity is reported or requires notification?
Information with respect to DS&T activities may be reported to Congress. Clearly, the
Congress is notified regarding all activities covered by statute, regulation or a specific
request or other requirement of either a standing or ad hoc (e.g. one time) nature.
The types of activities which DS&T will report to the Congress (either directly or as part
of an Agency report) for which there are standing "legal" requirements include:
- Sensitive collection/covert operations
- Major cost overruns
- Renovations over limit
- Waste /fraud/ abuse
Most of the reporting, however, takes place on a continuing basis and involves the
sharing of information related to routine DS&T activities. This type of information
includes such topics as:
- Budget information/issues
- Relationship of DS&T programs to national needs/intelligence issues
- DS&T program descriptions/status/accomplishments
- Relationship of DS&T programs to Community architectures
- Critical technologies/industries
- Dual-use technologies
- New technologies which threaten/enhance intelligence collection
- Ad hoc (non-traditional) customers (e.g. disaster/humanitarian relief)
- Downsizing reduction efforts
- etc.
In order to provide for a closer working relationship, the DS&T established, last fall, a
proactive program to involve Congress as a partner in the accomplishment of the DS&T
mission. To facilitate this new effort, a schedule of briefings and activities for Members
was put in place on DS&T themes and ca abilities of interest to Con ess the A en
and the DSZET.
In addition to the various standing requirements for information, the DS&T responds to
Congressional requests which may take the following form:
- Congressionally-Directed Actions (CDAs)
- Questions for the Record
- Budget-related items (required to receive funding), such as
� Budget justifications
� Budget hearings
-- Appeals
- Congressional (Ad Hoc) Requests (e.g. requests (from Committees, staff,
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individual Members for briefings on programs, including justification, status,
and issues)
2. To whom is it reported?
Information is routinely reported to the Oversight/Authorization Committees (HPSCI
and SSCI) as well as the cognizant Appropriations Committee Sub-committees.
Responses to requests from these Committees, as well as from DOD's Authorization
Committees, are also fairly routine.
Other than Congress, the DS&T is involved in routine and regular briefings and the
reporting of its activities to involved elements of the Executive Branch. Substantive
briefings, of an informational nature, are frequently provided by NPIC and FBIS, to
consumers in the Congress, the forei olic defense/intelligence communities, and,
on occasion, to international agencies
3. How is reporting/notification accomplished?
Congress is informed of DS,SzT activities in various ways, including:
- Hearings
- Letters
-Reports
- Briefings
� etc.
The most common method by which information is conveyed is through briefings
which are focussed to the needs of the particular customer.
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4. What, if any, reporting/notification takes place to other than the DDS&T and/or
Congress?
In addition to 2, above, the DSSET is involved in many joint efforts with other
Community elements all of whkh a ba
activities involve:
5. What is the timeliness criteria (andlor periodicity) of existing reportinglnotificaHon
matters?
The timeliness criteria is usually contained in the requirement. Some, such as for
special operations, are in statute/regulation. The budget cycle has a well-known set of
built-in requirements. The preparation of written testimony takes longer and is geared
to the Hearing schedule, while audits have deadlines particular to the individual audit
(as do OFRs). Ad hoc briefing requirements vary by the subject and requestor.
6. What internal mechanism(s) exist for identifying/raising issues that might require
reporting/notification?
The DS&T is familiar with reporting requirements. Standing requirements are met by
established Agency procedures. Ad hoc requests are managed, in coordination with
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OCA/OCompt as appropriate,
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� The DS&T approach, derived from its experience in dealing with major programs and
diverse external customers, has proven effective in providing the kind ol management
controls which ensure both internal adherence to guidance and an effective
��partnership/peer review process with external interfaces. It is based on the
configuration control process used in the DS&T for major program management;
programmatic "control ates" are ut in lace which ertsure ositive actions are taken
at key junctures in
the activity. This has proven a most effective way of dealing with issues which may
involve reporting/notification.
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