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Merton MillerAssociate Director, Federal Investigative ServicesOffice of Personnel Management (OPM), Federal Investigative Services
FY 16-17: Agency Priority Goal
Background Investigations Case Processing Timeliness and Quality
Priority Goal
Goal Overview
In alignment with OPM FY 2014-2018 Strategic Plan Goal 8.0, OPM provides personnel background investigative services to determine individuals’ suitability for Federal civilian, military, and contract employment and eligibility for access to classified national security information. OPM performs these background investigations for Federal agencies on a fee-for-service basis and conducts more than 95 percent of all background investigations for the Federal Government. The timeliness provisions of the Intelligence Reform and Terrorism Prevention Act of 2004 and the Director of National Intelligence continue to be a key focus of the background investigations program. OPM will continue efforts to complete the fastest 90 percent of all initial national security investigations initial within an average of 40 days, and the fastest 90 percent of all initial Top Secret investigations within an average of 80 days, and the fastest 90 percent of all initial Secret/Confidential investigations within an average of 40 days, as required by the Director of National Intelligence. However, when the agency decided in FY 2014 not to renew the terms of one of its key investigative contractors, OPM’s Federal Investigative Services was challenged to continue to provide high-quality background investigations in a timely manner to its Federal agency customers with far fewer and less experienced contractor resources.
In 2015, in light of increasing cybersecurity threats, including the compromise of information housed at OPM, the interagency Suitability and Security Clearance Performance Accountability Council (PAC) conducted a 90-Day Suitability and Security review to re-examine reforms to the Federal background investigations process, assess additional enhancements to further secure information networks and systems, and determine improvements that could be made to the way the Government conducts background investigations for suitability, security and credentialing. As a result of that review, a new Federal entity, the National Background Investigations Bureau (NBIB), would be established to create a more secure and effective Federal background investigations infrastructure. On October 1, 2016, the NBIB began operation with the critical mission to deliver efficient and effective background investigations to safeguard the integrity and trustworthiness of the Federal workforce. OPM stood up the NBIB without interruption to the crucially important investigative services OPM is tasked with providing.
The NBIB will strengthen current and future investigative delivery, enhances stakeholder engagement, facilitates innovation, and engages both the Federal and private sectors in providing feedback, setting priorities, and ensuring continuous improvement. Some of the highlights of the NBIB include (1) an interagency detailee program to enable NBIB ready access to national security expertise from across Government and to expand ongoing interagency participation in the NBIB decision making process and operational activities, (2) a Business Transformation Directorate to increase the use of data, analytics, technology and innovative solutions to improve the quality and timeliness of processes, and (3) improvements to OPM’s existing customer service with expanded functions. In September 2016, OPM named Charles S. Phalen, Jr. as the Director of the NBIB.
In addition, the NBIB will be accountable to the PAC and the NBIB’s customer agencies for providing continuous improvements to the investigative process. The PAC and the Performance Improvement Council will also develop, implement, and continuously re-evaluate and revise outcome-based metrics that measure the effectiveness of the entire vetting processes, including investigations. By the end of calendar year 2016, mechanisms and measures for continuous improvements to the investigative process will be identified and incorporated into subsequent APG updates.
Strategies
OPM will continue to employ and refine its long-standing investigative processes to achieve this goal. These processes and activities include Field Investigation, Manual Searches of Automated Databases, FBI Name Checks & Database Searches, State Criminal History Record Checks, Bureau of Vital Statistics Searches, Credit Checks, Case Review and Quality Activities, Support Services, Customer Service, Application/Standard Form Ingesting, Fingerprint Transaction, Case Management, Imaging and Retention, Investigator Fieldwork Reporting, Freedom of Information/Privacy Act, Fleet Services Management and Control, Integrity Activities, Human Resources Activities, Adjudications, Statistical Analysis and Reporting, Secure Portal Management, Central Verification System Management, Internal Training, Facilities Management, and Records Access Activities.
Technology to support this goal includes Personnel Investigation Processing System, Central Verification System, Dashboard, Electronic Questionnaires for Investigations Processing, Fieldwork System, OPM PIPS Imaging System, the Secure Portal, and Fingerprint Transaction System. OPM will employ a mix of skilled Federal employees and contractor support to achieve this goal, and use a long-established revolving fund to manage operations.
In addition, OPM plans to increase its capacity by hiring additional Federal investigative staff and procuring additional investigative contractors, which would also improve industry competition.
Progress Update
- On October 1, 2015, OPM implemented the Tier 3 and the Tier 3 Reinvestigation products. The new products are based on the 2012 Federal Investigative Standards. OPM will assess the impact of the Tier 3 and the Tier 3 Reinvestigation products on timeliness throughout FY 2016.
- On October 1, 2016, OPM launched the Tiers 4 and 5 investigation products for high risk and top secret clearance determinations.
- In October 2015, OPM published a Federal Investigations Notice (FIN) announcing its products and service pricing for FY 2016.
- Beginning in the second quarter of FY 2016, OPM began the process to hire 400 additional Federal investigators. At the end of the fourth quarter, FIS had hired 363 new Federal investigators. An additional 34 Federal investigators were in the investigation pipeline and were brought on board October 16, 2016. In all, a total of 400 job offers were extended to qualified job candidates.
- To counter the loss of one of the FIS contractors in FY 2014, OPM continued to work with its two remaining fieldwork contractors to increase their production. In addition, in September 2016, OPM awarded contracts to two additional fieldwork contractors, further expanding its investigation capacity.
- Actions taken to expand investigative capacity were within budget constraints, and maintained the current high quality of OPM’s investigations.
Next Steps
- OPM will deliver full capability for all tiers of the 2012 Federal Investigation Standards by the end of FY 2017.
- The agency will also implement executive branch-wide quality standards. OPM made the Quality Assessment Reporting Tool available to Executive Branch agencies in November 2016. In December 2016, the agency will work with ODNI to evaluate the quality data.
- OPM is working with the Performance Accountability Council Project Management Office and the Performance Improvement Council on an ongoing effort to develop, implement, and continuously re-evaluate and revise outcome-based measures to gauge the effectiveness of the background investigations process.
- The agency will continue to execute initiatives to increase capacity to improve timeliness and decrease the current backlog of investigations. These include hiring of an additional 200 Federal field investigators in FY 2017.
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Performance Indicators
Average number of days to complete the fastest 90 percent of initial Secret national security investigations
Average number of days to complete the fastest 90 percent of initial Top Secret national security investigations
Percent of investigations determined to be quality complete
Average number of days to complete the fastest 90 percent of all initial national security investigations
Number of fieldwork source units completed by OPM fieldwork contractors
Number of Federal investigators hired by OPM
Contributing Programs & Other Factors
OPM’s Federal Investigative Services (FIS) is the primary program executing this goal. FIS will be supported by other OPM organizations that will assist in such areas as information technology development and operations (the Chief Information Officer), legal advice (Office of the General Counsel), definition of HR data standards (Planning and Policy Analysis and HR Line of Business), and budgeting and financial operations (Chief Financial Officer).
The Office of the General Counsel will support reform of suitability, national security, credentialing, and other investigative and related adjudicative processes relating to the concept of fitness by providing input to the 120-day OMB review, supporting the subsequent implementation of the recommendations through the PAC process, and providing other services as needed.
Success of this strategy depends on an external factor--outcome of Justice Department proceedings with OPM investigative contractors. Depending upon the result of current Justice Department actions, FIS may need to adapt its contractor and Federal investigation workforce.
As the Executive Agent for Suitability, OPM partners with the Executive Agent for Security, Director of National Intelligence to develop and implement national policy impacting the personal security/suitability investigations program. Examples include the new Federal investigative standards, reciprocity, and improved quality standards.
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Strategic Goals
Strategic Goal:
SG8 Enhanced Federal Workforce Integrity
Statement:
Enhance the integrity of the federal workforce.
Strategic Objectives
Statement:
90% of Top Secret investigations completed in average of 80 days or fewer and Secret investigations completed in average of 40 days or fewer.
Percent of milestones met in FBI/OPM implementation plan to provide emerging Criminal History Information to employing government agencies implementation plan
Description:
- Defining executive branch wide quality standards for background investigations and revising tools and measures to universally assess quality in collaboration with Office of the Director of National Intelligence and the Suitability and Security Clearance Performance Accountability Council,.
- Automating front-end processes to reduce paper investigation requests in support of Background Investigations timeliness standards.
- Implementing revised Federal Investigative standards.
- Establishing and enforcing standards for information systems used for management of adjudication decisions and data.
- Developing tools to deliver appropriate emerging information to decision makers.
- Developing automated tools to support efficiency and consistency in background investigation processes.
Statement:
70% or greater of agency human capital offices evaluated demonstrate progress in improving their human capital programs after implementing OPM required and recommended actions.
80% or greater of all required actions cited in reports are addressed by agencies within prescribed timeframes.
80% or greater of Delegated Examining Units with severe problems demonstrate satisfactory level of competence within one year or cease to independently operate.
Description:
- Evaluating agencies’ human capital management programs and accountability systems for effectiveness, efficiency, and compliance with law and regulation.
- Ensuring OPM’s products and services are designed to help agencies maintain efficient, effective, and compliant human capital management programs
- Ensuring agencies take corrective actions when high-risk vulnerabilities and violations of law in human capital management programs are identified.
- Exploring options to strengthen OPM’s enforcement authorities or measures when agencies fail to meet regulatory requirements.
- Developing work products and processes that increase transparency and strengthen agency senior leader commitment and support in ensuring their human capital management programs are efficient, effective, and compliant, including
- a dashboard of human capital management targets to increase agency awareness and drive improvement efforts,
- information on effective human capital management programs, practices, and strategies Government-wide and agency-specific problematic trends, root causes, and improvement strategies.
Statement:
80% or greater of participants assess the quality of training provided by Agency Compliance and Evaluation staff at no less than 4 out of 5 points on a scale of 1-5.
Increase in the percentage of HR specialists and agency benefit officers trained and certified by HR University.
Increase in the percentage of applicable HR information systems across the Federal government are certified to align with OPM policy and guidance for equitable treatment.
Description:
- Training and certifying gency staff to carry out competitive hiring operations delegated by OPM.
- Training agency staff to conduct self-assessments of agency human capital management programs.
- Creating a certification process for agency self-assessment evaluators.
- Communicating new and existing policy and standards to agencies.
- Educating agencies about the merit system principles and prohibited personnel practices.
- Promoting and delivering low-cost, effective learning solutions for the federal community through expanded distance- and blended-learning solutions, skills immersion mini-workshops, and open enrollment course offerings through the new HR Training On Demand program.
- Training HR professionals across the Federal government through HR University (HRU) and the HR Training on Demand program and assisting HR specialists with additional policy and guidance.
- Promote training programs across all OPM platforms, including USA Learning, HR Learning Connection, OPM Learning Center, HR University, THEO, USAJOBS, and OPM.gov
Statement:
Increase in the percentage of hiring officials reporting satisfaction with quality of appointee.
Increase in the number of agencies adopting the basic SES performance appraisal system and including cross-Government requirements (e.g., Employee Viewpoint Survey results, diversity management and inclusion, effective human capital management, etc.).
Increase in the number of agencies receiving training on the Qualification Review Board requirements enabling initial SES appointments.
Description:
- Establishing policy and guidance to foster an effective enterprise approach to the diverse and inclusive recruitment, selection, appointment, performance management, compensation, recognition, and development of SES and other Senior Employees consistent with applicable law.
- Administering enterprise processes to ensure the selection, appointment, performance management, compensation, recognition, and development of SES and other Senior Employees complies with civil service laws, rules, and regulations.
- Providing an optional automated performance management system, USA Performance℠, to automate the government-wide SES PM System.
Agency Priority Goals
Statement:
Ensure that investigations achieve quality standards, while maintaining timeliness goals of the Intelligence Reform and Terrorism Prevention Act of 2004. Throughout FY 2014 and 2015, OPM will target 99 percent or more of all OPM investigations adjudicated as “quality complete” by agencies receiving closed investigations.
Description:
Beginning in FY 2013, the Director of National Intelligence (DNI) further challenged the background investigations process by revising the Intelligence Reform and Terrorism Prevention Act timeliness metrics to establish a separate standard for Top Secret investigations. As a result, the DNI shifted greater management focus on the manpower intensive workload, necessitating the creation of revised workload management tools and rules to measure and manage workload by case type.
While OPM has made significant progress on timeliness since 2004, the agency has maintained its primary focus on delivering top quality products to agencies. OPM will work with its executive branch reform partners to develop and implement Executive Branch quality standards, with a measurement tool designed for universal application during both the investigative and adjudicative processes. OPM will focus on implementing these additional initiatives while maintaining timeliness objectives. OPM will satisfy all national security standards, deliver quality products, and achieve Congressional and DNI mandated timeliness goals.
OPM is sensitive to the fiscal environment and the need for customer agencies (i.e., the employing or sponsoring agencies) to have more insight into the costs of background investigations. To this end, OPM will continue conducting business efficiency studies and maturing its cost allocation model to provide more detailed cost data and to optimize the value of OPM’s investigative products to agency adjudicators, which in turn translates into better value to taxpayers.
Strategic Objectives
Strategic Objective:
SG08.01 Enhance policy, procedures and processes used to ensure people are fit to serve
Statement:
90% of Top Secret investigations completed in average of 80 days or fewer and Secret investigations completed in average of 40 days or fewer.
Percent of milestones met in FBI/OPM implementation plan to provide emerging Criminal History Information to employing government agencies implementation plan
Description:
- Defining executive branch wide quality standards for background investigations and revising tools and measures to universally assess quality in collaboration with Office of the Director of National Intelligence and the Suitability and Security Clearance Performance Accountability Council,.
- Automating front-end processes to reduce paper investigation requests in support of Background Investigations timeliness standards.
- Implementing revised Federal Investigative standards.
- Establishing and enforcing standards for information systems used for management of adjudication decisions and data.
- Developing tools to deliver appropriate emerging information to decision makers.
- Developing automated tools to support efficiency and consistency in background investigation processes.
Agency Priority Goals
Statement: Ensure that investigations achieve quality standards, while maintaining timeliness goals of the Intelligence Reform and Terrorism Prevention Act of 2004. Throughout FY 2014 and 2015, OPM will target 99 percent or more of all OPM investigations adjudicated as “quality complete” by agencies receiving closed investigations.
Description: Beginning in FY 2013, the Director of National Intelligence (DNI) further challenged the background investigations process by revising the Intelligence Reform and Terrorism Prevention Act timeliness metrics to establish a separate standard for Top Secret investigations. As a result, the DNI shifted greater management focus on the manpower intensive workload, necessitating the creation of revised workload management tools and rules to measure and manage workload by case type. While OPM has made significant progress on timeliness since 2004, the agency has maintained its primary focus on delivering top quality products to agencies. OPM will work with its executive branch reform partners to develop and implement Executive Branch quality standards, with a measurement tool designed for universal application during both the investigative and adjudicative processes. OPM will focus on implementing these additional initiatives while maintaining timeliness objectives. OPM will satisfy all national security standards, deliver quality products, and achieve Congressional and DNI mandated timeliness goals. OPM is sensitive to the fiscal environment and the need for customer agencies (i.e., the employing or sponsoring agencies) to have more insight into the costs of background investigations. To this end, OPM will continue conducting business efficiency studies and maturing its cost allocation model to provide more detailed cost data and to optimize the value of OPM’s investigative products to agency adjudicators, which in turn translates into better value to taxpayers.
