UPDATE OF DATA ON EMPLOYEES AFFECTED BY FEDERAL SECURITY PROGRAMS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90M00005R000600130024-1
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 57
• Document Creation Date: December 23, 2016
• Document Release Date: February 13, 2013
• Sequence Number: 24
• Publication Date: July 6, 1988
• Content Type: MISC

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67
Update of Data on Employees Affected By
Federal Security Programs
41
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yb
In a March 22, 1988, letter (Attachment 1), Chairmen Brooks, Ford 5Le,
and Pryor asked GAO to assist them in updating data involving
government agencies' information and personnel security programs.
The chairmen asked GAO to handle res-ponses to a questionnaire that
they were sending to all executive branch agencies, requesting data
for calendar years 1986 and 1987 (attachment 2). GAO was asked to
compile the data and include it in a report, as was done for
calendar years 1984 and 1985 in GAO/NSIAD-86-189FS, September 29,
1986 (attachment 3).
The questionnaires for the previous and current reviews are
similar, and most agencies have responded to the current request,
including data in questions 3-7 that concern SCI access. Two
agencies, the Department of Commerce and the United States
Information Agency, declined to provide such data explaining that
they believed the data to be CIA proprietary information, and
suggested that GAO contact the CIA Office of Congressional Affairs.
We would appreciate responses to questions 3-7 for the two
agencies, either from the office of Congressional Affairs or the
agencies themselves, if so authorized by that office. Several
agencies have been delayed in responding to the questionnaire; it
is possible that some may also defer the SCI questions to CIA.
Congressional concerns appear to be directed to the use of
nondisclosures agreements, especially those providing for
prepublication review. We plan to report SCI access data in totals
only, without identifying specific agencies.
Please contact Irv Boker (275-3973) or Don Lentz (275-4052).
L$fcycA-3
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Qongre55 of the Uniteb 'tate,5
3ou5e of Repre5entatibe5
agtjington, .C. 20515
March 22, 1988
The Honorable Charles A. Bowsher
Comptroller General of the United States
Washington, D.C. 20548
In preparation for hearings in October of 1983 by the Government
Operations Committee on the Federal Government's policies on prepublication
censorship and polygraph testing, the General Accounting Office conducted a
survey of the Federal agencies. In September of 1986, that survey was
updated for Calendar Years 1984 and 1985, and extended to include a general
survey of information classification and access programs. GAO's report
entitled Information and Personnel Security; Data on Employees Affected by
Federal Security Programs, has been extremely useful to Congress in
consideration of numerous legislative proposals and oversight projects
conducted recently.
In anticipation of Congress' active consideration of various new
proposalp regarding government secrecy and the Executive's information and
personnel security programs this year, we request that a further update be
made for Calendar Years 1986 and 1987. We request that this project be
started immediately in order that it may be completed by early summer.
Because the agencies have now been queried twice regarding this information,
they should have no trouble responding quickly to your questionnaire.
Thank you very much for your attention to this request. With every
good wish, we are
Sincerely,
hairman Chairman
Committee on Government Subcommittee on Federal
Operations Services, Post Office
and Civil Service
WILLIAM A. FORD
Chairman
Committee on Post Office
and Civil Service
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'Xnif eb .States Zenaf e
Since 1984, the General Accounting Office, at the request of
the Committees on Government Operations and Post Office and Civil
Service, has conducted several surveys of the government's information
and personnel security programs. Their last survey covered calendar
years 1984 and 1985. We have requested the General Accounting Office
to obtain updated and additional information relative to calendar
years 1986 and 1987. We would appreciate your response to the
enclosed questionnaire by May 16, 1988.
request.
"Thank you very much for your prompt attention to this
J Brooks
William D. Ford r
David Pryor
C irman
Chairman '
Chairman
C mmittee on
Committee on Post Office
Subcommittee on
Government Operations
and Civil Service
Federal Services,
Post Office and
Civil Service
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REQUEST FOR INFORMATION RELATIVE TO
INFORMATION AND PERSONNEL SECURITY
Throughout this questionnaire, we are talking about the number
of people; for that reason, the number of positions should not be
converted to full-time equivalents.
When an estimate is given for any answer, please precede the
estimated number with the letter "E".
Unless otherwise specified, the requested information should
be as of December 31, 1986, and December 31, 1987.
Please be specific when indicating whether an answer is
classified. i
If your agency participates in the Defense Industrial Security
Program (DISP), you need not provide data on those contractor em-
ployees covered by the program, because such data will be obtained
directly from the Department of Defense. If you also have contrac-
tor employees not covered by the DISP, please provide the requested
data for them.
If any information will not be obtainable within the specified
timeframe, please send that information which is available and
indicate a date by which we may expect the remainder.
If you have any questions, please call Mr. Don Lentz 275-4052
or Mr. Irv Boker, 275-3973. Please return the completed question-
naire by May 16, 1988, to:
Mr. Irv Boker, Room 4100
U.S. General Accounting Office
Washington, D.C. 20548
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QUESTIONNAIRE
GENERAL
1. Approximately how many people were employed by your agency as of December 31, 1986,
and December 31, 1987-? (The total should include both full- and part-time employees.
If the exact number is not available, please give your agency's best estimate, and
indicate such by preceding the number with the letter "E").
Employees
2. As of December 31, 1986, and December 31, 1987, approximately how many of your
employees and how many employees of your contractors were cleared for access to
classified information? Please count the individuals based on their highest, level of
clearance. (If the exact number is not known, please give your agency's best estimate.
Do not include contractor employees who were granted clearances by the Defense
Investigative Service. Enter the number on each line. If none, enter "0"). 'r
1986 1987
Highest Agency Contractor Agency Contractor
Level of Clearance Employees Employees Employees Employees
TOP SECRET
SECRET
CONFIDENTIAL
t
3. How many SCI and non-SCI special access programs did your agency have at the close of
calendar years 1986 and 1987? How many billets were authorized for these programs and
how many agency and contractor employees were granted special access authorizations
for them for each of those years? (If the exact number is not available, please give
your agency's best estimate, and indicate such by preceding the number with the letter
,.E..).
1986 1987
SCI Non-SCI SCI Non-SCI
Programs
Billets
Agency employees
Contractor employees
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4. How many personnel security clearances, SCI accesses, and non-SCI special access
program (SAP) accesses did you grant (or were granted) to your emplayees,and employees
of your contractors during calendar years 1986 and 1987? (If the exact number is not
available,' please give your agency's best estimate and indicate such by preceding the
number with the letter "E". Do not include clearances granted to contractor employees
by the Defense Investigative Service.)
1986 1987
Agency Contractor Agency Contractor
TOP SECRET
SECRET
CONFIDENTIAL
TOTAL
SCI Access
Non-SCI Special
Access Program
5. How many requests for security clearances and SCI and non-SCI SAP accesses wer~ in
process (incomplete National Agency Checks, Background Investigations, adjudications,
etc.) at the end of calendar years 1986 and 1987? (If the exact number is not
available, please give your agency's best estimate, and indicate such by preceding the
number with the letter "E").
Level of Request
for Clearance and 1986 1987
Access in Process Agency Contractor Agency Contractor
TOP SECRET
SECRET
CONFIDENTIAL
TOTAL
SCI Access
Non-SCI SAP Access
6. What was the average time (in calendar days) required for you or another agency to
complete the investigative work incident to the granting of a top secret and secret
security clearance and SCI and non-SCI SAP access during calendar years 1986 and 1987?
(Do not include the time involved in the preparation and internal processing of the
personnel security questionnaire and in the subsequent adjudicative process. Include,
if appropriate, the average time taken by the Defense Investigative Service to process
your requests for clearances for contractor employees.)
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Level of 1986 1987
Clearance Agency Contractor Agency Contractor
TOP SECRET
SECRET
CONFIDENTIAL
SCI Access
Non-SCI SAP Access
7. How many requests for your employees and employees of your contractors for security
clearances and SCI and non-SCI SAP access were denied during calendar years 1986 and
1987? How many clearances and SCI and non-SCI accesses were revoked for reasons of
risk or potential risk to national security or administratively because of insuffi-
cient need? Identify, by placing in brackets, those requests for clearances or
revocations for contractor employees administered by the Defense Investigative
Service. (If the exact number is not available, please give your agency's best
estimate., and indicate such by preceding the number with the letter "E").
Level of Clearance and Access -
Agency Top Confi- SCI Non-SCI
1986 Secret Secret dential access SAP access Total
Revocations-Because
of: Risk or
Potential Risk
Administrative-No
Further Need
Total Number of
Revocations
Revocations-Because
of: Risk or
Potential Risk
Administrative-No
Further Need
Total Number of
Revocations
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Contractor
1986
Number of Denials
Revocations-Because
of: Risk or
Potential Risk
Administrative-No
Further Need
Total Number of
Revocations
1987
Number of Denials
Revocations-Because
of: Risk or
Potential Risk
Administrative-No
Further Need
Total Number of
Revocations
8. Please provide copies of your agency's policies and procedures governing the periodic
reinvestigation of individuals after the initial granting of clearances and SCI
access. How many completed reinvestigations of any type did your agency conduct or
have conducted for it during calendar years 1986 and 1987? What was the average time
(in calendar days) required for completion of the reinvestigation? (If the exact
number is not available, please give your agency's best estimate, and indicate such by
preceding the number with the letter "E").
Number of completed
Reinvestigations:
Average Time
Required:
Agency
Top Confi-. SCI Non-SCI
Secret Secret dential access SAP access. Total
Level of Clearance and Access
Top Confi- SCI Non-SCI
Secret Secret dential access SAP access Total
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Number of completed
Reinvestigations:
Agency
Average Time
Required:
Agency
Level of Clearance and Access
Top Confi- SCI Non-SCI
Secret Secret dential access SAP access Total
9. Approximately how much did you spend in calendar years 1986 and 1987 for security
clearance investigations, reinvestigations, special investigations, and adjudications,
including inhouse costs, reimbursements to other federal agencies, and contract costs?
Please identify specific costs if possible (i.e. adjudicative costs, Defense I ives-
tigative Service vs. Office of Personnel Management, etc.).
Reimbursement to other agencies
Contracted investigative services
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CLASSIFICATION MANAGEMENT
10. How many employees of your agency were authorized to classify information (either
original or derivative authority) at the top secret level and below and at the secret
level and below as of-December 31, 1986, and December 31, 1987? Pleases count the
individuals based on their highest level of authority. (if the exact number is not
known, please give your agency's best estimate, and indicate such by preceding the
number with the letter "E").
Level of Information Agency
Classified Classifiers
1986 1987
Original Derivative Original Derivative
Authority Authority Authority Authority
11. Does your agency require its classifiers to be certified? Does your agency re~uire
training for classifiers? If you answer yes, please provide the requirements pf the
certification and syllabus of the training requirements.
Certification Training Required
of Classifiers for Classifiers
12. Does your agency use classification guides? If you answer yes, how many were issued
as of December 31, 1986, and December 31, 1987?
Classification Number of Classification
Guides Used Guides Issued as of
yes December 31, 1986 December 31, 1987
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ACCESS BY HISTORIANS AND FORMER PRESIDENTIAL APPOINTEES
13. Section 4.3 of Executive Order 12356 authorizes access to classified information by
historical researchers and former presidential appointees. Please provide the
following information on the number of individuals given such access.
Former
Historical Presidential
Researchers Appointees
Number of individuals granted
access during calendar year 1986
Number of individuals denied
access during calendar year 1986
Number of individuals with
access as of December 31, 1986
Former
Historical Presidential
Researchers Appointees
Number of individuals granted
access during calendar year 1987
Number of individuals denied
access during calendar year 1987
Number of individuals with
access as of December 31, 1987
14. Please provide a copy of your agency's procedures governing section 4.3 of the
executive order. If your procedures do not include a provision for this section of
the order, please identify the position of the individual authorized to grant access
to historical researchers and former presidential appointees.
NONDISCLOSURE AGREEMENTS
15. As of December 31, 1986, and December 31, 1987, how many employees of your agency and
employees of your contractors had signed a Standard Form (SF) 189, SF 189-A, Form
4193, DD Form 1847-1 (for SCI access), or other nondisclosure agreement? (Please
attach copies of agreements other than SF 189, SF 189-A, Form 4193 and DD Form 1847-
1.)
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Agency Contractor
1986 Employees Employees
SF 189
SF 189-A
Form 4193
DD Form 1847-1
Agency Contractor
1987 Employees Employees
SF 189
SF 189-A
Form 4193
DD Form 1847-1
(other)
(other)
16. Has your agency issued written procedures for use of the SF 189 and 189-A?
Yes No
If you answered "yes", please provide a copy of the procedures.
17. Information Security Oversight Office (ISOO) instructions on the use of SF 189 and SF
189-A did not designate a date for completing implementation for individuals who
already had access to classified information. What date or dates did you establish
for obtaining a signed SF 189 or SF 189-A from every individual granted access to
classified information prior to the December 29, 1987, letter from ISOO directing
immediate suspension of the program?
SF 189
SF 189-A
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18. Did you require all of your employees and all of your contractors' employees to sign
either an SF 189 or SF 189-A?
If you answered "no", which employees were not required to sign an SF .189 or SF 189-A?
19. What means of enforcement did you have to ensure that all required individuals signed
an SF 189 or SF 189-A? (Please explain.)
20. When do you require individuals--new employees, newly cleared employees, and
employees who already have access to classified information--to sign the nondisclosure
agreements (SF 189, SF 189-A, Form 4193, DD Form 1847-1, and others)? (Please check
the appropriate line or lines.)
DD Form
Nev employees SF 189 SF 189-A Form 4193 1847-1 Other
When a clearance is
requested
When a clearance is
granted
After a security
briefing
Before access to
classified data.
Other (please explain
on attachment)
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Newly cleared DD Form
employees SF 189 SF 189-A Form 4193 1847-1 Other.
After a security
briefing
Before access to
classified data
Other (please explain
on attachment)
Employees already DD Form
having access SF 189 SF 189-A Form 4193 1847-1 Other
All employees have
signed agreements
After a security
briefing
Before access to
classified data
Other (please explain
on (attachment)
21. How many employees of your agency and contractors had refused to sign the SF 189 SF
189-A, Form 4193, DD Form 1847-1, or other nondisclosure agreement as of December 31,
1987?
Agency Contractor
Employees Employees
SF 189
SF 189-A
Form 4193
DD Form 1847-1
Other
22. What action has been taken with respect to those individuals who refused to sign the
SF 189, SF 189-A, Form 4193, DD Form 1847-1, or other nondisclosure agreement? Please
indicate the number of employees involved and indicate the action or actions taken.
For example, if any employee's security clearance was suspended and the individual was
also reassigned to another position, the individual would be included in two of the
categories described below.
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Agency Contractor
Employees Employees
Security clearance suspended
Security clearance revoked
No action taken on clearance
Individual reassigned to
another position or duties
with:
No reduction in salary
Reduction in salary
Individual resigned
Individual's employment
terminated
Case still under
consideration
Other administrative
sanctions (please describe below)
23. How many SF 189, SF 189-A, Form 4193, DD Form 1847-1, or other nondisclosure agree-
ments were signed by employees of your agency and contractors during the periods of
December 22, 1987 (date of enactment of on the use of nondisclosure) through March 31,
1988?
Agency Contractor
December 22, 1987 - March 31, 1988 Employees Employees
SF 189
SF 189-A
Form 4193
DD Form 1847-1
(Other)
(Other)
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PRE-PUBLICATION REVIEW AND UNAUTHORIZED DISCLOSURES
24. Are any of your agency's employees required to submit to any pre-publication review
procedure '(other than to review official statements on behalf of the agency)?
No (Please skip to Question 28)
25. Approximately how many books, articles, speeches, and other materials, by category,
were reviewed during your agency's pre-publication review process (described in
Question 24) for calendar years 1986 and 1987? If possible, identify the reason for
pre-publication review. If the number is not known, please give your agency's best
estimate (required by regulation or nondisclosure agreement). Please enter the number
on each line. (If none, enter "0".)
Reason for Pre-Publication
Review Type of Material
1986
Regulation
SCI Agreement
Non-SCI SAP Agreement
Other (please specify)
1987
Regulation
SCI Agreement
Non-SCI SAP Agreement
Other (please specify)
Other
(Please
Books Articles Speeches Specify)
26. Please estimate the average number of working days that elapse from the date of
receipt of a request for pre-publication review of each type of document below, to the
date the requestor is informed of the final results. If you have not had experience
in reviewing a type of document, enter "NA" on the applicable line. (Enter estimated
average number of working days on each line).
Estimated Average Working Days
Books
Speeches
Other (please specify)
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27. During calendar years 1986 and 1987, approximately how many employees were assigned,
and working days were.used for pre-publication review as described in Question 24?
Estimated number of
employees assigned
Estimated number of
working days used
28. During calendar years 1986 and 1987, did your agency experience any unauthorized
disclosures of classified information? (Check one).
No (Please skip to Question 32)
29. For calendar years 1986 and 1987, please indicate the total number of unauthorized
disclosures, the number of unauthorized disclosures made through books, articles,
speeches, written or given by then-current and former employees, the number which were
not reported to the Department of Justice, and the number made by individuals taho had
previously signed a nondisclosure agreement. -
Total number of known
unauthorized disclosures
Number not reported to
Department of Justice
Number made through published
writing or speeches by:
then-current employees, or
Former employees
Number made by individuals
who had previously signed a
nondisclosure agreement
30. How many unauthorized disclosures were investigated by your agency or referred to
another agency for investigation during calendar years 1986 and 1987?
Number of cases investigated by
your agency
Number of cases referred to
another agency for investigation,
after your investigation was
completed
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Number of cases referred to
another agency for investigation,
that your 'agency did not
investigate.
How many employees of your agency and employees of your contractors were denied
further access to classified information, because of their unwillingness to cooperate
with the investigation of an unauthorized disclosure (because the use of the polygraph
was involved or for other reasons), during calendar years 1986 and 1987? How many
were subjected to other administrative sanctions?
1986 1987
Employees denied further access Polygraph Other Polygraph Other
to classified information Involved Reasons Involved Reasons
Agency
Contractor
Employees subjected to other
administrative sanctions
Agency
32. Please indicate which of your agency's policies and procedures governing contacts
between your employees and media representatives are for national security reasons.
Also, explain or provide documentation explaining the method by which your agency
assures that all employees with security clearances are apprised of these policies and
procedures.
POLYGRAPH ACTIVITY
33. Did your agency employ polygraph operators during calendar years 1986 and 1987?
1986 1987
34. As of December 31, 1986, and December 31, 1987, how many polygraph operators were
employed by your agency? How many contracts for polygraph examinations did you have?
Agency employees
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35. Do you have plans to employ any additional polygraph operators or contract out for
services? If so, why-and how many?
Agency employees
Contractors
36. As of December 31, 1986 and December 31, 1987, how many polygraph machines, if
any, did your agency possess? How many were procured during calendar years 1986
and 1987? Do you have plans to procure any additional polygraph machines, and if
so, how many?
Number of polygraph machines
on hand at end of the year
Number of polygraph machines
procured during the year
Plans to procure additional
polygraph machine
yes (number of machines
37. Approximately how many polygraph tests were conducted of your employees or
applicants for employment by, or for, your agency? Please list by the indicated
categories for each of the listed calendar years. If they were conducted by
another agency or contractor, so indicate. Identify how many tests resulted in
security clearance action (denial, revocation, suspension, other) and explain.
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Reason for Polygraph Test
Criminal or specific Number of Clearance Number of Clearance
incident investigations Tests Action Tests Action
Conducted by agency
Conducted by other agencies
or contractors (list)
Pre-employment screening
Conducted by agency
Conducted by other agencies
or contractors (list)
Pre-access screening
Conducted by agency
Conducted by other agencies
or contractors (list)
Subsequent screening
Conducted by agency
Conducted by other agencies
or contractors (list)
Other (explain)
Conducted by agency
Conducted by other agencies
or contractors (list)
Total (do not double count)
Sy
Conducted by agency
Conducted by other agencies
or contractors (list)
Total (should be the same
number as in above "total"
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Explanation of Clearance Actions:
38. Under what authority, regulations and rules are your polygraph examinations
conducted? Please list citations and attach copies. Highlight any changes since
1985. Also, indicate any plans to revise these governing regulations proposed at
this time. Please describe the changes and attach copies of these proposals, if
available. In particular, describe which employees, and indicate how many, would
be potentially covered under each type of polygraph examination (specific
incident-investigation, screening or other uses (described) and the projected
number of exams to be given in each category.
39. Please provide the qualifications required of individuals employed as polygrap?
examiners by your agency.
40. Please enter below the name, title, and telephone number of the person to be
contacted if clarification or additional information is needed:
Agency:
Name:
Title:
Location:
Telephone number: (Area Code) (Number)
If you have any questions, please contact either GAO staff member:
Mr. Don Lentz, 275-4052 or Mr. Irv Boker, 275-3973
Thank you for your time. Please return the completed questionnaire by
May 16, 1988, to:
Mr. Irv Boker, Room 4100
U.S. General Accounting Office
Washington, D.C. 20548
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United States General Accounting Office
GAO Fact Sheet for Congressional Requesters
September 1986
GAO/NSIAD-86-189FS
INFORMATION AND
PERSONNEL
SECURITY
Data on Employees
Affected by Federal
Security Programs
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r
G \() Gen States
General Accounting Office
Washington, D.C. 20548
National Security and
International Affairs Division
September 29, 1986
The Honorable Jack Brooks
Chairman, Committee on Government
Operations
House of Representatives
The Honorable William A. Ford
Chairman, Committee on Post Office
and Civil Service
House of Representatives
On November 7, 1985, you requested that we update the
information we provided in 1984 concerning the federal gov-
ernment's policies on polygraph testing and prepublication
review procedures.1 On December 5, 1985, you sent a ques-
tionnaire to those agencies that handle classified informa-
tion (as you had done in 1984), and asked them to return the
responses to us. The purpose of the questionnaire, in
addition to updating the previous survey, was to make a
broader inquiry into the agencies' policies regarding infor-
mation and personnel security programs, including a general
survey of information classification activity and special
access programs.
Most of the agencies responded to the questionnaire. How-
ever, the Executive Office of the President, which had
informed us that it would be responding for nine of the
questionnaire recipients, had not responded by September 29,
1986. A list of all agencies is included as appendix I. The
responding agencies' data are included in summary form in
appendix II. The information includes actual figures, as
well as some estimates where data was not readily available.
We did not verify the information reported by the agencies,
but we did compare it with their previous responses and in
many cases requested clarification.
We counted responses from the Department of Defense (DOD),
including the military services, as one response; however, we
did provide the individual services' responses, as well as
1Polygraph and Prepublication Review Policies of Federal
Agencies, GAO/NSIAD-84-134, June 11, 1984.
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all agency responses, to your offices. Questionnaires were
not sent to the National Security Agency and Central Intelli-
gence Agency. Overall, the 41 responding agencies estimated
that about 2.2 million federal and 1.4 million contractor
employees held security clearances at the end of 1985. This
is a net decrease from the number of employees with clear-
ances at the end of 1984 (2.8 million federal and 1.6 million
contractor employees). The decrease is primarily the result
of a clearance-reduction program within DOD. The following
sections summarize the information received relative to
prepublication review requirements, polygraph examinations,
and unauthorized disclosures of classified information.
PREPUBLICATION REVIEW REQUIREMENTS
Since 1981, with the issuance of Form 4193 (app. III), agency
employees with sensitive compartmented information (SCI)2
access have been required to sign nondisclosure agreements
with lifetime prepublication review requirements. The
President formalized this policy by issuing National Security
Decision Directive 84 on March 11, 1983, requiring all indi-
viduals with SCI access to sign nondisclosure agreements with
a prepublication review requirement. Under the directive, a
revised Form 4193 (app. IV) was promulgated to replace the
1981 version. Although the President suspended the prepubli-
cation review provision of the Directive on February 15,
1984, the suspension has had little effect on prepublication
review requirements. This is because employees are still
required to sign the prior version of Form 4193 before being
granted access to SCI. Since the agreements apply for the
life of the employee, they cover both current and former
employees.
Twenty agencies reported that, as of December 31, 1985,
138,245 of their employees were involved in SCI programs and
that, as far as they knew, almost all had signed the agree-
ments which contain the lifetime prepublication review
requirement. Of the 138,245 current federal employees with
SCI access, 125,088 were DOD employees. In addition to
federal employees with SCI access, 1,332 contractor employees
had SCI access as of December 31, 1985.
2SCI refers to intelligence or intelligence-related material
that requires special handling. The Director of Central
Intelligence is responsible for protecting this information.
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Because the agencies did not know the number of former
employees covered by these agreements, the total number of
agreements now in effect is unknown. However, agencies
reported that at least 240,776 individuals have signed the
agreements.
In addition to SCI nondisclosure agreements with prepublica-
tion review requirements, employees working on other non-SCI
special access programs may be required to sign similar
agreements. At the end of 1985, the numbers of non-SCI
special access programs had grown to over 160, from about 100
in 1983 and 30 in 1979. While the number of government
employees involved in non-SCI special access programs
declined slightly from the number in our last report (from
about 27,500 in 1983 to about 25,000 in 1985), the number of
contractor employees involved in those programs has more than
doubled (from about 21,600 in 1983 to about 56,700 in 1985).
The Federal Bureau of Investigation requires all employees to
sign its own nondisclosure agreements containing a lifelong
prepublication review provision. To date, about 45,000
Bureau employees have signed these agreements. In addition,
the Defense Intelligence Agency requires some of its employ-
ees to sign its own nondisclosure agreement that contains a
prepublication review provision. To date, about 4,300
employees have signed this agreement.
In addition to contractual requirements, 11 agencies (includ-
ing DOD) indicated that, as a matter of agency regulation,
current employees must comply with prepublication review
requirements. The number of employees subject to the
prepublication review regulations was 3,534,481 as of
December 31, 1985. This figure includes many of the
employees covered by SCI agreements.
POLYGRAPH EXAMINATIONS
Ten agencies told us that their employees and applicants for
employment were given 15,428 polygraph examinations in 1984;
eight agencies said that 18,213 such examinations were given
in 1985. (The Department of Labor and the Veterans Admini-
stration did not use the polygraph in 1985.) The majority of
the examinations were given in connection with criminal or
specific incident investigations; however, about 32 percent
of the 1984 and 35 percent of the 1985 examinations were
given for screening purposes (before being granted access to.
classified information, reinvestigations, and aperiodic
examinations) and were not conducted in connection with a
specific event. DOD accounts for most of the polygraph
examinations administered in the government. Table 1 shows
the total number of polygraph examinations, as well as a
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breakout of screening examinations, given by DOD in 1981
through 1985.
Table 1: Total Number of Polygraph and Screening
Examinations Given by DOD
Examinations
1981
1982
1983
1984
1985
Total
6,556
8,657
10,502
11,128
13,786
Screening
only
45
1,176
3,105
3,649
4,863
The Postal Service and the Departments of Defense, Justice,
and Treasury employed 222 and 267 polygraph operators at the
end of calendar years 1984 and 1985, respectively. DOD plans
eventually to hire an additional 84 polygraph operators, and
the Department of Treasury plans to hire an additional 7
operators.
National Security Decision Directive (NSDD) 196, issued on
November 1, 1985, includes a provision for the use of aperi-
odic, non-life style, counterintelligence-type polygraph
examinations for all individuals with access to certain
classified information. In response to a question about how
agencies have adopted, or plan to adopt, the use of polygraph
examinations as outlined in NSDD 196, the responding agencies
noted that nothing had been done to implement that provision
of the directive. The agencies said that they were awaiting
implementing instructions for the directive. As of
September 2, 1986, the National Security Planning Group had
issued no such instructions.
UNAUTHORIZED DISCLOSURES
Seven agencies reported having 151 unauthorized disclosures
of classified information during calendar year 1984, 105 of
which were not reported to the Department of Justice. The
number of unauthorized disclosures made through published
writings or speeches by then-current employees was six; by
former employees, two. For the calendar year 1985, nine
agencies reported having 165 unauthorized disclosures of
classified information, 113 of which were not reported to the
Department of Justice. The number made through published
writings or speeches by then-current employees was five; by
former employees, two.
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Unless you publicly announce its contents earlier, we plan no
further distribution of this fact sheet until 30 days from
the date of this letter. At that time, we will send copies
to all agencies that provided information and to other
interested parties upon request.
If we can be of further assistance, please contact me at
275-8412.
~040/ ~-10/-
Martin M Ferber
Associate Director
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C O N T E N T S
Questionnaire Recipients
Responses to Questions of the House
Committee on Government Operations
and the House Committee on Post
Office and Civil Service
Tables
Number of Employees With Security
Clearances
11.2
Number of Employees With Special Access
Authorizations
12
11.3
Number of Clearances Granted to Employees
During 1984 and 1985
12
11.4
Number of Clearances in Process at End of
Calendar Year
13
11.5
Ranges of Average Times to Complete
Investigative Work to Grant Clearances
14
11.6
Number of Denials of Requests and
Revocations of Security Clearances
15
11.7
Number of Ccmpleted Reinvestigations of
Agency and Contractor Employees
16
11.8
Breakdown of Costs Incurred for
Investigations and Adjudications
17
11.9
Number of Employees With Original and
Derivative Classification Authority
17
II.10
Number of Polygraph Operators Employed
as of December 31
19
II.11
Number of Polygraph Machines
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f
Number and Results of Polygraph
Examinations Given Employees and
Applicants at All Agencies
11.13
Number and Results of Polygraph Examinations
Given Employees and Applicants at DOD
22
11.15
Number and Results of Polygraph Examinations
Given Employees and Applicants at the
Department of Justice
Material That Received Prepublication Review
in 1984 and 1985
24
11.16
Reported Range of Time for Prepublication
Review
24
11.17
Reasons and Sanctions for Non-Cooperation
26
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APPENDIX I APPENDIX I
QUESTIONNAIRE RECIPIENTS
AGENCIES RESPONDING TO QUESTIONNAIRE
Agency for International Development
Arms Control and Disarmament Agency
Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of the Treasury
Environmental Protection Agency
Export-Import Bank.
Farm Credit Administration
Federal Communications Commission
Federal Emergency Management Agency
Federal Home Loan Bank Board
Federal Maritime Commission
Federal Reserve System
General Services Administration
International Trade Commission
Interstate Commerce Commission
Marine Mammal Commission
National Aeronautics and Space Administration
National Archives and Records Administration
National Science Foundation
Nuclear Regulatory Commission
Office of Personnel Management
Overseas Private Investment Corporation
Peace Corps
Securities and Exchange Commission
Selective Service
Small Business Administration
Tennessee Valley Authority
U.S. Information Agency
U.S. Postal Service
Veterans Administration
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AGENCIES NOT RESPONDING TO QUESTIONNAIRE
--Assistant to the President for National Security Affairs
--Board for International Broadcasting
--Council of Economic Advisers
-Office of Administration
--Office of Management and Budget
-Office of Science and Technology
--President's Foreign Intelligence Advisory Board
--President's Intelligence Oversight Board
--United States Trade Representative
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Responses to Questions of the
House Committee on Government Operations
and the
House Committee on Post Office and Civil Service
On December 5, 1985, questionnaires were sent to 50 executive branch
agencies that handle classified information. The Executive Office of
the President, which was to have responded for 9 questionnaire recip-
ients, had not responded as of September 29, 1986. Appendix I is a
listing of the 50 agencies. The combined responses are presented
below. The totals do not include figures from the National Security
Agency or the Central Intelligence Agency because they were not sent
questionnaires.
QUESTION 1
Approximately how many full- and part-time people were employed
by the federal government as of December 31, 1984, and as of December
31, 1985?
RESPONSE
The responding agencies had 5,269,151 military and federal civil-
ian personnel in 1984 and 5,330,402 in 1985.
QUESTION 2
Approximately how many federal and contractor employees had
security clearances as of December 31, 1984, and as of'December 31,
1985?
About 2.8 million federal and 1.6 million contractor employees of
the responding agencies had security clearances at the end of 1984.
About 2.2 million federal and 1.4 million contractor employees had
security clearances at the end of 1985. The decrease in the numbers
of security clearances from 1984 to 1985 was due mainly to the DOD
clearance-reduction program. Of the total number of federal employ-
ees--5,330,402--about 9 percent had top secret clearances, and 33 per-
cent had secret clearances in 1985. Table II.1 shows the number of
employees with security clearances at the different levels in 1984 and
1985, respectively.
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APPENDIX II APPENDIX II
Table II.l: Number of Employees With Security Clearances
Level of
clearance
Federal
employees
Contractor
employees
Top secret
Secret
Confidential
542,073
2,251,565
28,113
273,185
1,030,728
305,942
Total
2,821,751
1,609,855
Level of
Federal
Contractor
clearance
employees
employees
Top secret
464,065
270,127
Secret
1,751,612
948,920
Confidential
26,925
198,589
Total
2,242,602
1,417,636
QUESTION 3
How many Sensitive Compartmented Information (SCI) and non-SCI
special access programs were there at the close of calendar years 1984
and 1985, and how many agency and contractor employees were granted
special access authorizations for them in those years?
RESPONSE
Twenty agencies reported having employees participating in 59 SCI
special access programs in 1984, and 21 agencies reported employees
participating in 64 programs in 1985. Sixteen agencies reported
having employees participating in over 100 non-SCI special access
programs in 1984, and 17 reported having employees participating in
over 160 non-SCI special access programs in 1985. The number of non-
SCI programs reported for 1984 and 1985 was 111 and 177, respectively;
however, because the programs were not identified, there could have
been duplicative reporting of the programs. Table 11.2 shows the
number of employees with special access authorizations.
11
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APPENDIX II~ APPENDIX II
Table 11.2: Number of Employees With Special Access Authorizations
Agency
SCI
Non-SCI
SCI
Non-SCI
DOD
125,138
21,194
125,088
23,724
State
4,000
0
4,513
0
Justice
4,230
46
4,230
51
Other agencies
3,865
644
4,414
1,232
Total
137,233
21,884
138,245
25,007
-------
-------
------
------
-------
-------
------
Contractor
1,245
54,999
1,332
56,747
Total
138,476
76,883
139,577
81,754
QUESTION 4
How many new personnel security clearances were granted to agency
and contractor employees during calendar years 1984 and 1985?
RESPONSE
Table 11.3 shows, by level, the number of clearances granted
during 1984. and 1985.
Table 11.3: Number of Clearances Granted to Employees During 1984 and
1985
Level of clearance
granted
Agency
Contractor
Agency
Contractor
Top secret
119,550
58,108
117,581
53,260
Secret
346,990
225,344
445,715
220,897
Confidential
1,044
1,965
1,032
2,314
Total
467,584
285,417
564,328
276,471
SCI/Non-SCI
access
109,706a
1,228
112,813a
1,546
aThe majority of these are DOD figures which combine agency and
contractor employees and include determinations for access to SCI,
non-SCI special access programs, and other programs such as presi-
dential support assignments.
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APPENDIX II APPENDIX II
QUESTION 5
How many security clearance requests were in process at the end
of calendar years 1984 and 1985?
Table 11.4 shows the number of clearances in process at the end
of calendar years 1984 and 1985.
Table 11.4: Number of Clearances in Process at End of Calendar Year
Level of clearances
in process
Agency
Contractor
Agency
Contractor
Top secret
19,524
12,243
16,566
7,866
Secret
101,858
2,932
125,524
3,101
Confidential
271
62
289
63
Total
121,653
15,237
142,379
11,030
SCI/Non-SCI
access
24,352a
370
23,780a
406
aThe majority of these are for DOD, which combine agency and con-
tractor employees and include requests for access to SCI, non-SCI
special access programs, and other programs such as presidential
support assignments.
QUESTION 6
What was the average time required to complete the investigative
work incident to granting a top secret and secret clearance and SCI
and non-SCI access during calendar years 1984 and 1985?
RESPONSE
Table 11.5 shows the ranges of average times agencies reported
they needed to canplete the investigative work incident to granting
clearances.
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Table 11.5: Ranges of Average Times to Complete Investigative Work to
Grant Clearances
Average number of days
Level of clearance
1984
Top secret
30 to 300
30 to 250
Secret
30 to 270
45 to 270
SCI access
30 to 180
30 to 170
Non-SCI access
45 to 150
55 to 180
QUESTION 7
How many requests for security clearances and special accesses
for agency and contractor Employees were denied in calendar years 1984
and 1985, and how many clearances and accesses were revoked for
reasons of-risk or potential risk to national security or because of
insufficient need during those years?
RESPONSE
The number of denials of requests and revocations of security
clearances :for agency and contractor Employees, respectively, in 1984
and 1985 is shown in table 11.6. The large increase in revocations in
1985 is in large part due to the DOD clearance-reduction program.
(Totals do not always agree with individual figures since some
agencies [including DOD] could not always determine the level or
reason for revocations and provided only total numbers.)
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Table 11.6: Number of Denials of Requests and Revocations of Security
Clearances
Level of clearance/type of access
AGENCY EMPLOYERS
1984
Top
secret
Secret
Conf 1-
dential
SCI
Non-SCI
Total
-------
-------
-------
-------
-------
-------
-------
-------
-------
-------
Revocations:
For risk
6
11
0
6
0
23
Administrative
1,597
5,639
306
529
49
8,120
Total revoca-
tions
1,606
16,235
306
3,119
49
21,315
1985
Revocations:
For risk
20
37
1
11
0
64
Administrative
2,226
3,857
354
572
115
7,124
Total revoca-
tions
2,247
232,136
355
3,184
347
238,271
-------
-------
-------
cONTRACPOR EMPLOYEES
1984
Revocations:
For risk 20 6 0
Administrative 3 35 0
Total revoca-
tions
1 0 409
63 30 131
Revocations:
For risk 20 9 0 3 0 751
Administrative 9,717 92,197 107,521 96 40 209,571
Total revoca-
tions 9,737 92,208 107,521 218 40 209,724
------- ------- ------- ------- ------- -------
------- ------- ------- ------- -------
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QUESTION 8
How many reinvestigations of previously cleared individuals were
conducted in calendar years 1984 and 1985, and what was the average time
required for the completion of those reinvestigations?
RESPONSE
The number of completed reinvestigations of agency and contractor
employees is shown in table 11.7. The average times required to complete
reinvestigations in 1985 ranged from 5 to 237 days for top secret and 30 to
180 days for secret reinvestigations. For SCI and non-SCI reinvestiga-
tions, time ranges were 30 to 365 days and 60 to 90 days, respectively.
Table 11.7: Number of Completed Reinvestigations of Agency and
Contractor Employees
Level of clearance/type of access
Top
Secret
Secret
Confi-
dential
SCI
Non-
SCI
Total
Agency
employees
11,357
578
15
33,273
23
45,234
Contractor
employees
2,715
10
0
320
0
3,045
Agency
employees
6,011
1,202
24
24,825
12
32,379
Contractor
employees
1,877
13
0
318
0
2,208
QUESTION 9
How much money was spent in calendar years 1984 and 1985 for security
clearance investigations, reinvestigations, special investigations, and
adjudications?
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APPENDIX II APPENDIX II
RESPONSE
The total costs for 1984 and 1985 were $155,037,861 and $162,954,602,
respectively. Table 11.8 gives a breakdown of the costs by inhouse costs,
reimbursements to other federal agencies, and contracted investigative
services costs.
Table 11.8: Breakdown of Costs Incurred for Investigations and
Adjudications
Tyeof cost 1984
Agency inhouse
$108,140,321
$116,658,583
Reimbursements to
other agencies
43,873,172
39,171,769
Contracted services
3,024,368
7,124,250
$155,037,861
$162,954,602
-----------
-----------
-----------
-----------
QUESTION 19
How many agency employees were authorized to classify information at
the top secret and secret levels as of December 31, 1984, and December 31,
1985?
RESPONSE
Table 11.9 shows the number of employees with original and derivative
classification authority in 1984 and 1985.
Table 11.9: Number of Employees With Original and Derivative
Classification Authority
Level of
information
classified
original
authority
Derivative
authority
Original
authority
Derivative
authority
Top secret
and below
1,250
473,170
1,305
393,184
Secret
and below
4,117
2,250,810
4,272
1,751,497
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APPENDIX II APPENDIX II
QUESTION 11
How many agencies require their classifiers to be certified? What are
their certification requirements, and how many require training for their
classifiers?
RESPONSE
Eight agencies required certification of their classifiers: Peace
Corps, U.S. Information Agency, Federal Communications Commission, Nuclear
Regulatory Commission, National Archives, and the Departments of Commerce,
Interior, and Treasury. Certification requirements ranged from the holding
of a top secret clearance to attending briefings and formal training
courses.
Thirteen agencies required training for their classifiers: Peace
Corps, U.S. Information Agency, Federal Communications Commission, Nuclear
Regulatory Commission, Export-Import Bank, U.S. Postal Service, National
Aeronautics and Space Administration, and the Departments of Commerce,
Education, Labor, State, Interior, and Energy.
QUESTION 12
How many agencies use classification guides, and how many guides were
issued as of December 31, 1984, and December 31, 1985? Classification
guides are documents issued by authorized original classifiers that
prescribe the level of classification to be used when information is
classified derivatively. Classification guides are supposed to be issued
for each classified system, program, plan, or project.
RESPONSE
Fourteen agencies reported using classification guides. They issued
1,709 classification guides as of December 31, 1984, and 1,805 guides as of
December 31, 1985.
QUESTION 13
How many agencies employed polygraph operators in calendar years 1984
and 1985?
RESPONSE
Four agencies employed polygraph operators during 1984 and 1985. The
agencies were the U.S. Postal Service and the Departments of Defense,
Justice, and Treasury.
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APPENDIX II APPENDIX II
QUESTION 14
As of December 31, 1984, and December 31, 1985, how many polygraph
operators were employed by federal agencies, and how many contracts for
polygraph examinations did the agencies have?
RESPONSE
As of December 31, 1984, 222 polygraph operators were employed by four
agencies. As of December 31, 1985, the number of operators was 267. Table
II.10 shows the number of operators employed by each of the four agencies.
Table II.10: Number of Polygraph Operators Employed as of December 31
Number of operators
Agency
1984
1985
Postal Service
9
10
Defense
124
160
Justice
57
59
Treasury
32
38
During the 2-year period, only one contract for polygraph examinations
was granted--by the Department of Labor in 1984.
QUESTION 15
How many agencies plan to employ additional polygraph operators or
contract out for polygraph services? How many additional employees or
contracts are planned for?
RESPONSE
Two agencies--DOD and Treasury-plan to hire 91 additional polygraph
operators. No agencies plan to contract out for polygraph services.
QUESTION 16
As of December 31, 1984, and December 31, 1985, how many polygraph
machines did the agencies possess? How many were procured during 1984 and
1985, and how many additional machines were expected to be procured?
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APPENDIX II APPENDIX II
RESPONSE
At the end of 1984, four agencies had 419 machines on hand and had
procured 35 machines during the year. At the end of 1985, those agencies
had 446 machines on hand and had procured 84 during the year. During this
period, they had discarded 57 older machines. Three of the agencies expect
to procure 173 additional machines. Table II.11 shows the number of
machines each agency had at the end of 1984 and 1985 and the number of
additional machines they plan to procure.
Table II.11: Number of Polygraph Machines
Agency
On hand, on hand, Future
1984 1985 procurements
Postal Service 8 11 3
Defense 271 290 152
Justice 99 100 1
Treasury 41 45 17
QUESTION 17
Approximately how many polygraph tests were conducted on agency
employees or applicants for employment by, or for the agencies, during
calendar years 1984 and 1985? How many of these tests resulted in a
security clearance action (denial, revocation, suspension, or other)?
RESPONSE
Table 11.12 shows the number of polygraph examinations given to agency
employees or applicants for employment for various reasons during 1984 and
1985, and how many clearance actions (denials, revocations, etc.) resulted
from those examinations.
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Table 11.12: Number and Results of Polygraph Examinations Given
Employees and Applicants at All Agencies
Reason for polygraph test
1984
1985
Criminal or specific
incident investigations
Tests
Clearance
actions
Tests
Clearance
actions
Conducted by agency
11,460
5
13,016
1
Conducted by other
agencies or
contractors
17
0
21
0
Preemployment screening
Conducted by agency
142
3
105
0
Conducted by other
agencies or
contractors
97
72
106
76
Preaccess screening
Conducted by agency
2,524
3
2,977
2
Conducted by other
agencies or
contractors
0
0
57
0
Subsequent screening
Conducted by agency
1,188
0
1,931
0
Conducted by other
agencies or
contractors
0
0
0
0
Total
Conducted by agency
15,314
11
18,029
3
Conducted by other
agencies or
contractors
114
72
184
76
15,428
83
18,213
79
---------
---------
---------
---------
----------
----------
---------
---------
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Tables 11.13 and 11.14 provide this information for DOD and the
Department of Justice, the two agencies where the largest number of
examinations were given. (Note: The information given in tables
11.13 and 11.14 is included in table 11.12.)
Table 11.13: Number and Results of Polygraph Examinations Given
Employees and Applicants at DOD
Clearance
Clearance
Reason for polygraph test
Tests
actions
Tests
actions
Criminal or specific
incident investigations
7,479
0
8,923
0
Preaccess screening
2,461
3
2,932
2
Subsequent screening
1,188
0
1,931
0
Total
11,128
3
13,786
2
Table 11.14: Number and Results of Polygraph Examinations Given
Employees and Applicants at the Department of Justice
Reason for Polygraph Test
Tests
Clearance
actions
Clearance
Tests actions
Criminal or specific
incident investigations
2,719
2
2,767 1
Preemployment screening
130
0
83 0
Preaccess screening
63
0
45 0
Total
2,882
2
2,765 1
QUESTION 18
What have agencies done to adopt the use of polygraph examina-
tions as outlined in National Security Decision Directive 196?
RESPONSE
All of the responding agencies noted that nothing had been done
as of June 1986 to implement that provision of the directive which was
issued on November 1, 1985. The agencies said that they were waiting
for implementing instructions for the directive. As of September 2,
1986, the National Security Planning Group had issued no such
instructions.
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APPENDIX II APPENDIX II
QUESTION 19
How many agencies require any of their employees to submit to any
prepublication review procedure (other than to review official
statements on behalf of the agency)?
RESPONSE
Eleven agencies require their employees to submit to
prepublication review: Federal Reserve Board, Peace Corps, U.S.
Information Agency, Agency for International Development, Securities
and Exchange Commission, Tennessee Valley Authority, Arms Control and
Disarmament Agency, and the Departments of State, Energy, Defense, and
Justice.
QUESTION 20
How many agency employees covered by prepublication-review
procedures implemented through agreements and contracts have signed
such agreements or contracts as of December 31, 1985?
RESPONSE
According to the 11 agencies that require prepublication review,
the number of current and former agency employees who have signed
these agreements or contracts is 290,001. The majority of these
(240,776) are SCI agreements, and the remainder are employment
agreements of the Federal Bureau of Investigation (44,925) and the
Defense Intelligence Agency (4,300).
QUESTION 21
How many books, articles, speeches, and other materials, by
category, were reviewed through agency prepublication-review processes
during calendar years 1984 and 1985?
RESPONSE
Table 11.15 shows the number of books, articles, speeches, or
other (research papers, technical reports, newsletters, etc.) that
were reviewed before being published in 1984 and 1985.
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Table 11.15: Material That Received Prepublication Review in 1984 and
1985
Calendar year Type of material
Books Articles Speeches other
1984 103 5,291 3,390 12,934
1985 139 5,053 3,484 14,144
QUESTION 22
What was the average number of working days that elapsed from the
date of receipt of a request for prepublication review of a document
to the date that the requester was informed of the final result?
RESPONSE
Table 11.16 shows the reported range of time for the prepublica-
tion review process.
Table 11.16: Reported Range of Time for Prepublication Review
Type of material No. of days
Books 7 to 53
Articles 3 to 30
Speeches 3 to 25
Others 7 to 12
QUESTION 23
During calendar years 1984 and 1985, approximately how many
employees were assigned, and how many working days were used for
prepublication reviews?
RESPONSE
In 1984, approximately 139 Employees used about 12,496 working
days for prepublication reviews. In 1985, approximately 136 Employees
used about 12,810 working days for prepublication reviews.
QUESTION 24
How many agency and contractor employees signed Standard Form 189
or a similar form requiring nondisclosure of classified information
during calendar years 1984 and 1985?
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APPENDIX II APPENDIX II
RESPONSE
During 1984, 123,077 agency employees and 286 contractor
employees signed Standard Form 189. The respective figures for 1985
were 194,015 and 15,489. During 1984, 18,795 agency and 23,466 con-
tractor Employees signed other agreements with nondisclosure provi-
sions. The numbers for 1985 were 25,381 and 23,800, respectively.
QUESTION 25
During calendar years 1984 and 1985, how many agencies
experienced unauthorized disclosures of classified information?
RESPONSE
In 1984, seven agencies experienced unauthorized disclosures of
classified information. In 1985, the number was nine.
QUESTION 26
For calendar years 1984 and 1985, what was the total number of
unauthorized disclosures of classified information? What was the
number not reported to the Department of Justice, and what was the
number made through books, articles, or speeches, written by then-.
current or former employees?
The total number of known unauthorized disclosures in 1984 was
151. Of these, 105 were not reported to the Department of Justice.
The number in 1984 made through published writings or speeches by
then-current Employees was 6 and by former Employees was 2. In 1985,
the number of known disclosures was 165, of which 113 were not
reported to the Department of Justice. The number in 1985 made
through published writings or speeches by then-current employees was 5
and by former employees was 2.
QUESTION 27
How many cases of unauthorized disclosures were investigated by
the affected agency, and how many were referred to another agency for
investigation during calendar years 1984 and 1985?
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RESPONSE
Agencies investigated 151 of their own cases of unauthorized
disclosures in calendar year 1984 and referred 9 of these to another
agency for investigation. No cases were referred to another agency
for investigation that were not first investigated by the affected
agency. In 1985, agencies investigated 164 of their own cases and
referred 9 of these to another agency. One case was referred to
another agency in 1985 that was not first investigated by the affected
agency.
QUESTION 28
How many agency and contractor employees were denied further
access to classified information, or subjected to other administrative
sanctions, because of their unwillingness to cooperate with the
investigation of an unauthorized disclosure (because the use of the
polygraph was involved or for other reasons)?
RESPONSE
Table 11.17 shows the number of agency and contractor employees
that were denied further access or had other administrative actions
taken against them because of their unwillingness to cooperate with
the investigation of an unauthorized disclosure.
Table 11.17: Reasons and Sanctions for Non-Cooperation
Reasons for unwillingness to cooperate
1984 1985
Polygraph Other Polygraph other
involved reasons involved reasons
Denied further access
Agency employees 0 11 0 10
Contractor employees 0 10 0 10
Other administrative
sanctions
Agency employees 0 1 0 3
Contractor employees 0 0 0 0
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FORM 4193,
An Agreement Between and the United States
(Name - Printed or Typed)
1. Intending to be legally bound. I hereby accept the obligations contained in this Agreement in consideration of my being
granted access to information protected within Special Access Programs, hereinafter referred to in this Agreement as Sensitive Com-
partmented Information (SCI). I have been advised that SCI involves or derives from intelligence sources or methods and is classified
or classifiable under the standards of Executive Order 12065 or other Executive order or statute. I understand and accept that by being
granted access to SCI, special confidence and trust shall be placed in me by the United States Government.
2. I hereby acknowledge that I have received a security indoctrination concerning the nature and protection of SCI. including
the procedures to be followed in ascertaining whether other persons to whom I contemplate disclosing this information have been
approved for access to it, and I understand these procedures. I understand that I may be required to sign subsequent agreements upon
being granted access to different categories of SCI. I further understand that all my obligations under this Agreement continue to exist
whether or not I am required to sign such subsequent agreements.
3. I have been advised that direct or indirect unauthorized disclosure, unauthorized retention, or negligent handling of SCI by
me could cause irreparable injury to the United States or be used to advantage by a foreign nation. I hereby agree that I will never
divulge such information to anyone who is not authorized to receive it without prior written authorization from the United States
Government department or agency (hereinafter Department or Agency) that last authorized my access to SCI. I further understand
that I am obligated by law and regulation not to disclose any classified information in an unauthorized fashion.
4. In consideration of being granted access to SCI and of being assigned or retained in a position of special confidence and trust
requiring access to SCI, I hereby agree to submit for security review by the Department or Agency that last authorized my access to such
information, all information or materials, including works of fiction, which contain or purport to contain any SCI or description of activi-
ties that produce or relate to SCI or that I have reason to believe are derived from SCI, that I contemplate disclosing to any person not
authorized to have access to SCI or that I have prepared for public disclosure. I understand and agree that my obligation to submit such
information and materials for review applies during the course of my access to SCI and thereafter. and,) agree to make any required
submissions prior to discussing the information or materials with, or showing them to, anyone who is not awhorized to have access to SCI.
I further agree that I will not disclose such information or materials to any person not authorized to have access to SCI until I have
received written authorization from the Department or Agency that last authorized my access to SCI that such disclosure is permitted.
5. I understand that the purpose of the review described in paragraph 4 is to give the United States a reasonable opportunity to
determine whether the information or materials submitted pursuant to paragraph 4 set forth any SCI. I further understand that the
Department or Agency to which I have submitted materials will act upon them, coordinating within the Intelligence Community when
appropriate, and make a response to me within a reasonable time, not to exceed 30 working days from date of receipt.
6. 1 have been advised that any breach of this Agreement may result in the termination of my access to SCI and retention in a
position of special confidence and trust requiring such access, as well as the termination of my employment or other relationships with
any Department or Agency that provides me with access to SCI. In addition, I have been advised that any unauthorized disclosure of
SCI by me may constitute violations of United States criminal laws, including the provisions of Sections 793, 794, 798, and 952, Title
18, United States Code, and of Section 783(b), Title 50, United States Code. Nothing in this Agreement constitutes a waiver by the
United States of the right to prosecute me for any statutory violation.
7. I understand that the United States Government may seek any remedy available to it to enforce this Agreement including,
but not limited to, application for a court order prohibiting disclosure of information in breach of this Agreement. I have been advised
that the action can be brought against me in any of the several appropriate United States District Courts where the United States
Government may elect to file the action. Court costs and reasonable attorneys fees incurred by the United States Government may be
assessed against me if I lose such action.
8. I understand that all information to which I may obtain access by signing this Agreement is now and will forever remain the
property of the United States Government. I do not now, nor will I ever, possess any right, interest, title, or claim whatsoever to such
information. I agree that I shall return all materials, which may have come into my possession or for which I am responsible because of
such access, upon demand by an authorized representative of the United States Government or upon the conclusion of my employment
or other relationship with the United States Government entity providing me access to such materials. If I do not return such materials
upon request, I understand this may be a violation of Section 793, Title 18, United States Code, a United States criminal law,
9. Unless and until I am released in writing by an authorized representative of the Department or Agency that last provided me
with access to SCI. I understand that all conditions and obligations imposed upon me by this Agreement apply during the time I am
granted access to SCI, and at all times thereafter.
10. Each provision of this Agreement is severable. If a court should find any provision of this Agreement to be unenforceable, all
other provisions of this Agreement shall remain in full force and effect. This Agreement concerns SCI and does not set forth such other
conditions and obligations not related to SCI as may now or hereafter pertain to my employment by or assignment or relationship with
the Department or Agency.
11. I have read this Agreement carefully and my questions, if any, have been answered to my satisfaction. I acknowledge that
the briefing officer has made available Sections 793, 794, 798, and 952 of Title 18, United States Code, and Section 783(b) of Title 50,
United States Code, and Executive Order 12065, as amended, so that I may read them at this time, if I so choose.
12. 1 hereby assign to the United States Government all rights, title and interest, and all royalties, remunerations, and emoluments that
have resulted, will result, or may result from any disclosure, publication, or revelation not consistent with the terms of this Agreement.
FORM 4193 OI50iETE AEVIOUS pt"1.. F- 4066. 006E, 4192,, W 41VOb
12/!1 EDITIO 6 hih v. b w*. ad .4 ne, b. ,n W.) (12)
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APPENDIX III APPENDIX III
SIGNATURE DATE
The execution of this Agreement was witnessed by the undersigned who accepted it on behalf of the United States Government
as a prior condition of access to Sensitive Compartmented Information.
WITNESS and ACCEPTANCE:
SIGNATURE DATE
I certify that the above SCI access(es) were approved in accordance with relevant SCI procedures and that the briefing presented by
me on the above date was also in accordance therewith.
SECURITY DEBRIEFING ACKNOWLEDGMENT
Having been reminded of my continuing obligation to comply with the terms of this Agreement, I hereby acknowledge that I was de-
briefed on the following SCI Special Access Program(s):
Social Security Number (See Notice below) Organization (Name and Address)
I certify that the debriefing presented by me on the above date was in accordance with relevant SCI procedures.
NOTICE: The Privacy Act, 5 U.S.C. 522a, requires that federal agencies inform individuals, at the time information is solicited from them, whether
the disclosure is mandatory or voluntary, by what authority such information is solicited, and what uses will be made of the information. You are
hereby advised that authority for soliciting your Social Security Account Number (SSN) is Executive Order 9397. Your SSN will be used to identify
you precisely when it is necessary to I) certify that you have access to the information indicated above. 2) determine that your access to the information
indicated has terminated, or 3) certify that you have witnessed a briefing or debriefing. Although disclosure of your SSN is not mandatory, your failure
to do so may impede such certifications or determinations.
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APPENDIX TV APPENDIX IV
SENSITIVE COMPARTMENTED INFORMATION NONDISCLOSURE AGREEMENT
AUG 2 4 1883
An Agreement Between and the United States
(Name-Printed or Typedy
1 1. Intending to be legally bound, I hereby accept the obligations
2 contained in this Agreement in consideration of my being granted
3 access to information known as Sensitive Compartmented Information
4 (SCI). I have been advised and am aware that SCI involves or
5 derives from intelligence sources or methods and is classified or
6 classifiable under the standards of Executive Order 12356 or under
7 other Executive order or statute. I understand and accept that by
8 being granted access to SCI, special confidence and trust shall be
9 placed in me by the United States Government.
1 2. 1 hereby acknowledge that I have received a security indoctrination
2 concerning the nature and protection of SCI, including the procedures
3 to be followed in ascertaining whether other persons to whom I
4 contemplate disclosing this information have been approved for
5 access to it, and that I understand these procedures. I understand that
6 I may be required to sign subsequent agreements as a condition of
7 being granted access to different categories of SCI. I further
8 understand that all my obligations under this Agreement continue to
9 exist whether or not I am required to sign such subsequent agreements.
1 3. I have been advised and am aware that direct or indirect unauthorized
2 disclosure, unauthorized retention, or negligent handling of SCI by
3 me could cause irreparable injury to the United States or could be
4 used to advantage by a foreign nation. I hereby agree that I will
5 never divulge such information unless I have officially verified
6 that the recipient has been properly authorized by the United States
7 Government to receive it or I have been given prior written notice of
8 authorization from the United States Government Department or Agency
9 (hereinafter Department or Agency) last granting me either a security
10 clearance or an SCI access approval that such disclosure is permitted.
1 4. 1 further understand that I am obligated to comply with laws and
2 regulations that prohibit the unauthorized disclosure of classified
3 information. As used in this Agreement, classified information is
4 information that is classified under the standards of E.O. 12356, or
5 under any other Executive order or statute that prohibits the
6 unauthorized disclosure of information in the interest of national
7 security.
1 5. In consideration of being granted access to SCI and of being
2 assigned or retained in a position of special confidence and trust
3 requiring access to SCI and other classified information, I hereby
4 agree to submit for security review by the Department or Agency
5 last granting me either a security clearance or an SCI access
6 approval all materials, including works of fiction, that I contemplate
7 disclosing to any person not authorized to have such information,
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APPENDIX TV APPENDIX IV
8 or that I have prepared for public disclosure, which contain or
9 purport to contain:
10 (a) any SCI, any description of activities that produce or
11 relate to SCI, or any information derived from SCI;
12 (b) any classified information from intelligence reports
13 or estimates; or
14 (c) any information concerning intelligence activities,
15 sources or methods.
16 I understand and agree that my obligation to submit such information
17 and materials for review applies during the course of my access to
18 SCI and at all times thereafter. However, I am not required to
19 submit for review any such materials that exclusively contain
20 information lawfully obtained by me at a time when I have no employment,
21 contract or other relationship with the United States Government,
22 and which are to be published at such time. ,
1 6. I agree to make the submissions described in paragraph 5 prior
2 to discussing the information or materials with, or showing them to
3 anyone who is not authorized to have access to such information. I
4 further agree that I will not disclose such information or materials
5 unless I have officially verified that the recipient has been
6 properly authorized by the United States Government to receive it or
7 1 have been given written authorization from the Department or
8 Agency last granting me either a security clearance or an SCI
9 access approval that such disclosure is permitted.
1 7. I understand that the purpose of the review described in paragraph 5
2 is to give the United States a reasonable opportunity to determine
3 whether the information or materials submitted pursuant to paragraph 5
4 set forth any SCI or other information that is subject to classification
5 under E.O. 12356 or under any other Executive order or statute that
6 prohibits the unauthorized disclosure of information in the interest
7 of national security. I further understand that the Department or
8 Agency to which I have submitted materials will act upon them,
9 coordinating with the Intelligence Community or other agencies when
10 appropriate, and substantively respond to me within 30 working days
11 from date of receipt.
1 8. I have been advised and am aware that any breach of this Agreement
2 may result in the termination of any security clearances and SCI
3 access approvals that I may hold; removal from any position of
4 special confidence and trust requiring such clearances or access
5 approvals; and the termination of my employment or other relationships
6 with the Departments or Agencies that granted my security clearances
7 or SCI access approvals. In addition, I have been advised and am
8 aware that any unauthorized disclosure of SCI or other classified
9 information by me may constitute a violation or violations of United
10 States criminal laws, including the provisions of Sections 641, 793,
11 794, 798, and 952, Title 18, United States Code, the provisions
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APPENDIX IV APPENDIX IV
12, of Section 783(b), Title 50, United States Code, and the provisions
13 of the Intelligence Identities Protection Act of 1982. I recognize
14 that nothing in this Agreement constitutes a waiver by the United
15 States of the right to prosecute me for any statutory violation.
1 9. I hereby assign to the United States Government all royalties,
2 remunerations, and emoluments that have resulted, will result, or
3 may result from any disclosure, publication, or revelation not
4 consistent i4ith the terms of this Agreement.
1 10. I understand that the United States Government may seek any
2 remedy available to it to enforce this Agreement including, but not
3 limited to, application for a court order prohibiting disclosure of
4 information in breach of this Agreement.
1 11. I understand that all information to which I may obtain access
2 by signing this Agreement is now and will forever remain the property
3 of the United States Government. I do not now, nor will I ever,
4 possess any right, interest, title, or claim whatsoever to such
5 information. I agree that I shall return all materials which have
6 or may come into my possession or for which I am responsible
7 because of such access, upon demand by an authorized representative
8 of the United States Government or upon the conclusion of my employment
9 or other relationship with the Department or Agency that last
10 granted me either a security clearance or an SCI access approval.
11 If I do not return such materials upon request, I understand that
12 this may be a violation of Section 793, Title 18, United ?States
13 Code, a United States criminal law.
1 12. Unless and until I am released in writing by an authorized
2 representative of the United States Government, I understand that
3 all conditions and obligations imposed upon me by this Agreement
4 apply during the time I am granted access to SCI and at all times
5 thereafter.
1 13. Each provision of this Agreement is severable. If a court should
2 find any provision of this Agreement to be unenforceable, all other
3 provisions of this Agreement shall remain in full force and effect.
1 14. 1 have read this Agreement carefully and my questions, if any,
2 have been answered to my satisfaction. I acknowledge that the
3 briefing officer has made available to me Sections 641, 793, 794,
4 798, and 952 of Title 18, United States Code, Section 783(b) of
5 Title 50, United States Code, the Intelligence Identities Protection
6 Act of 1982, and Executive Order 12356 so that I may read them at
7 this time, if I so choose.
1 15. I make this Agreement without mental reservation or purpose of
2 evasion.
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APPENDIX IV APPENDTX IV
SIGNATURE DBE
SOCIAL SECURITY NUMBER ORGANIZATION
(SEE NOTICE BELOW)
1 The execution of this Agreement was witnessed by the undersigned,
2 who, on behalf of the United States Government, agreed to its terms
3 and accepted it as a prior condition of authorizing access to
4 Sensitive Compartmented Information.
WITNESS and ACCEPTANCE:
SECURITY BRIEFING ACKNOWLEDGEMENT
I hereby acknowledge that I was briefed on the following SCI Special
Access Program(s):
(Special Access Programs by Initials Only)
Signature of Individual Briefed Date Briefed
Printed or Typed Name
Social Security Number (See Notice Organization (Name and Address)
Below)
I certify that the above SCI access(es) were approved in accordance
with relevant SCI procedures and that the briefing presented by me on the
above date was also in accordance therewith.
Signature of Briefing officer
Printed or Typed Name
Social Security Number ee Notice
Below)
Organization-(Name and Addre-s-S)
32
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1PPFNDTX IV
Having been reminded of my continuing obligation to comply with the
terms of this Agreement, I hereby acknowledge that I was debriefed on the
following SCI Special Access Program(s):
peciiT Access Programme Initials n y)
Signature of Individual Debriefed Date Debriefed
Printed or Typed Name
Socf-aT--Security Number (See Notice Organization Name and A dress
Below)
I certify that the debriefing presented by me on the above date was
in accordance with relevant SCI procedures.
Signature of Debriefing Officer
Printer or TypecU Name Organization (Name and Address)
Social Security Number (See Notice
Below)
1 NOTICE: The Privacy Act, 5 U.S.C. 552a, requires that federal
2 agencies inform individuals, at the time information is solicited
3 from them, whether the disclosure is. mandatory or voluntary, by
4 . what authority such information is solicited, and what uses will
5 be made of the information. You are hereby advised that authority
6 for soliciting your Social Security Account Number (SSN) is Executive
7 Order 9397. Your SSN will be used to identify you precisely when
8 it is necessary to 1) certify that you have access to the information
9 indicated above, 2) determine that your access to the information
10 indicated has terminated, or 3) certify that you have witnessed
11 a briefing or debriefing. Although disclosure of your SSN is not
12 mandatory, your failure to do so may impede the processing of such
13 certifications or determinations.
(391557)
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