Document Sample
DS_Matrix Powered By Docstoc
					Issue                      Manifestations                Causes                      Proposed solutions
Current DS actions in      Disruption of DOS             Lack of genuine             Increase oversight and
security clearance cases   operations, programs          oversight                   accountability.
undermine the              and projects.                 DS failure to perform       Develop risk-
Department's mission,      Sidelining and loss of        objective or                management-based
effectiveness and          trained and experienced       independent reviews of      operating procedures to
security.                  employees.                    facts and cases.            reduce impact on
                           Disruption to /               Improper goal-setting by    operations.
                           destruction of careers.       DS management. DS           Promote alternative
                           Exposure to lawsuits          priorities do not           solutions to clearance
                           and increased                 consider impact on DOS      suspension (lowered
                           congressional scrutiny.       operations.                 clearance level,
                           Embarrassment and loss        Military vs DOS             restricted access,
                           of credibility.               perspective and             reassignment) to reduce
                           Waste of resources and        prejudices.                 impact on careers and
                           funds.                        Lack of accountability      productivity.
                           Destruction of employee       for either the DS Bureau    Develop Department-
                           morale.                       or the agents involved.     specific adjudication
                           Damage to national            Improper, illegal and       standards interpreting
                           security.                     unprofessional actions      federal guidelines.
                                                         performed without           Hold DS accountable
                                                         consequences.               for operational, legal
                                                         DS actions taken for        and resource
                                                         institutional or            consequences of its
                                                         bureaucratic reasons        actions.
                                                         rather than for national    Perform independent
                                                         security reasons.           reviews involving non-
                                                         No DS incentive for         DS reviewers at key
                                                         change: other bureaus       points in the process.
                                                         absorb costs including      Ensure greater
                                                         curtailment, wasted         employee awareness of
                                                         training costs, cost of     standards and
                                                         replacement, disruption     procedures.
                                                         to assignment process.
                                                         Real costs not captured.
Security clearance         Disruption to DOS             DS focus on raising DS      Develop risk
actions taken for DS       operations, including         profile and funding         management-based
institutional or           disruption of projects        rather than advancing       standards and
bureaucratic reasons       vital to national security.   the Department’s            alternative solutions to
rather than for national   Quality/legality of           mission.                    suspension (lower
security reasons           investigations                Disregard for risk          clearance level,
                           subordinated to DS            management                  restricted access,
                           bureau objectives.            considerations.             reassignment).
                           69 percent of DS              Focus on predetermined      Independent (M)
                           investigative files do not    objectives rather than on   management review of
                           meet federal standards.       objective facts.            DS priorities in light of
                           Damage control efforts        Quantity stressed over      actual operational
                           aimed at covering up          quality.                    requirements.
                           flaws and errors rather       Open cases and those        Identify true costs of
                           than fixing them.             resolved against            security clearance
                           Demonstrable                  employee can be used to     suspensions, in
                           misrepresentation of          request resources. Cases    resources, disruption,
                           facts in DS public            resolved in favor of        and effects on
                           statements and press          employee cannot.            operations. Pass these
                           guidance.                     Disproportionate and        costs on to DS bureau.
                           Cost in terms of              inappropriate levels of     Require independent
                           resources and               control by a few key DS      (non-DS) review or
                           operational disruption      officials.                   consultation prior to
                           outweighs benefits in       DS free to ignore true       clearance suspensions.
                           terms of reduced            costs of their actions, as   Require 360 degree
                           security risk.              other Bureaus bear most      performance evaluation
                                                       costs.                       of senior DS officials.
Arbitrary suspension of    Employee’s career is        Insufficient oversight of    Independent review of
security clearances        damaged.                    investigations.              allegations and
                           Department is unable to     Institutional desire to      investigative findings
                           use employee’s skills,      maximize the numbers         prior to suspension of
                           training and experience.    of investigations and        clearances.
                           DOS operations are          suspensions in order to      Promote downgrading
                           disrupted by forced         increase/justify DS          of clearance level,
                           curtailments and loss of    funding requests.            reassignment or
                           trained personnel.          True costs of                suspension of access to
                           Costs are incurred, often   investigations are not       certain types/categories
                           in the 100Ks of dollars.    captured, remain hidden.     of classified rather than
                           Institutional need to       DS decision-makers are       suspension of security
                           justify resources           not held accountable for     clearances.
                           expended as a result of     cost/resource                Charge all investigative
                           suspension leads to         implications of their        costs, including
                           vicious circle.             decisions.                   tangential costs, of
                           Employees are unable to     Management outside DS        adverse action
                           seek government             ignorant of regulations      investigations, to DS.
                           employment outside the      and easily misled.
                           agency, as they have no
                           clearance to transfer.
                           Employees are trapped,
                           unable to perform
                           meaningful work at
                           State and unable to
                           transfer to another
Improper and               Referrals abused as a       Insufficient oversight of    Independent review of
unnecessary referral of    technique to lengthen       investigations.              allegations and
cases to other agencies.   process, avoid decision-    Lack of accountability.      investigative findings
                           making.                     DS decision makers are       prior to referral of cases.
                           Additional USG costs.       not held accountable for
                           Additional tangential       cost/resource results of
                           costs to State              their decisions.
                           Department as               Failure to vet
                           investigation process is    information against
                           lengthened.                 information already on
                           Loss of DS credibility      hand. Failure to evaluate
                           when other agencies         allegations for
                           cannot substantiate DS      reasonableness.
                           allegations.                Belief that other agency
                           Damages public and          will find derogatory
                           Congressional               where DS has failed to
                           perception of State         do so.
                           Department and Foreign      Reluctance to accept
                           Service.                    employee innocence.
                                                       Hope that employees
                                                       will resign, achieving
                                                       “successful” outcome.
                                                       “If you never make a
                                                     decision, then you will
                                                     never be wrong.”
Overzealous actions by   Improper and illegal        Insufficient oversight of    Identify and punish
DS agents. Exercise of   investigative actions.      investigations.              illegal and
bias, prejudice and      Illegal search and          Lack of training.            unprofessional behavior.
ignorance by DS agents   seizure.                    Agents who have no           Mandatory annual
in conduct of            Fraudulent statements in    basic knowledge of           training in investigative
investigations.          ROIs. Cut and paste         areas under                  law, civil rights and
                         falsification of witness    investigation.               EEO issues for all
                         statements.                 Institutional “Us vs         agents involved.
                         Coercive interview          Them” culture.               Develop standards of
                         techniques.                 Compartmentalization.        evidence which stress
                         Destruction or              Desire to justify            facts over speculation.
                         suppression of              expenses already             Establish and test
                         exculpatory information.    incurred by expanding        minimal standards of
                         Statements in ROIs and      the investigation until      general knowledge for
                         adjudicative decisions      any “reason” can be          DS investigators and
                         which ignore widely         identified to justify that   adjudicators.
                         known public                expenditure.                 Require verification of
                         information or can be        DS decision-makers are      basic assumptions.
                         countered using basic       not held accountable for     Mandatory rotation of
                         student reference books.    cost/resource                adjudicators, with
                         Demonstrable use of         implications of their        mandatory time limits
                         illegal factors such as     decisions.                   on the number of
                         race, religion, sexual      “Badge as Phd”               consecutive years they
                         orientation as a            mentality.                   can perform certain
                         determinant of loyalty.     Investigative procedures     duties.
                         Agents who consider         which stress witness         Require review by more
                         themselves “above the       statements over              than one adjudicator.
                         law.”                       demonstrable facts.          Charge all investigative
                         Selective investigations.   Failure to verify basic      costs, including
                         Inconsistent application    facts and assumptions.       tangential costs, to DS.
                         of regulations.             Consider any allegation      Independent (OIG)
                         Leads to “fishing           whatsoever to constitute     auditing of investigative
                         expeditions.”               "doubt."                     files.
                                                     No consequences for
                                                     unprofessional or illegal
                                                     behavior by agents
                                                     Management reluctance
                                                     to review, revisit or
                                                     evaluate cases.
Overly lengthy           Damage to employee          DS decision makers are       Require adherence to
investigations.          careers.                    not held accountable for     regulatory time
                         Damage to morale.           cost/resource                standards.
                         Waste of government         implications of their        Require independent
                         resources.                  decisions, have no           review of cases
                         If the process drags on     incentive to end             exceeding time
                         too long, it becomes an     investigations.              standards.
                         entirely wasted exercise,   Frivolous or arbitrary       Charge all costs of
                         as the employee is likely   suspension of                investigations to DS,
                         to leave the service upon   clearances.                  including all costs
                         completion of the           Improper/ unnecessary        currently borne by other
                         investigation,              referrals to outside         bureaus (e.g. salary’s of
                         irrespective of the         agencies.                    sidelined employees,
                         outcome.                    Institutional need to find   costs of replacing
                           Process abused and          some reason to justify      sidelined employees at
                           viewed as punitive.         resources expended.         overseas posts, etc.)
                                                       Desire for employee to      Identify/Create
                                                       resign, creating            meaningful no-
                                                       “successful outcome”        clearance or low-
                                                       for DS.                     clearance employment
                                                       Open cases and those        options.
                                                       resolved against            Promote idea of “truth
                                                       employee can be used to     finding” rather than
                                                       request resources. Cases    “guilt finding.”
                                                       resolved in favor of
                                                       employee cannot.
                                                       “If you never make a
                                                       decision, then you will
                                                       never be wrong.”
Lack of adjudicative       Adjudicative findings       Large influx of DS staff    Develop, publish and
standards (Government-     and determinations vary     and management from         enforce adherence to
wide adjudicative          widely between similar      other agencies              agency-specific
guidelines are not         cases.                      swamping earlier            standards for
standards. Standards are   Improper and illegal use    institutional culture.      interpreting and
required to properly       of factors such as race,    Improper application of     applying the
apply/interpret the        religion and sexual         other- agency standards     Government-wide
guidelines).               orientation to determine    to DOS employees.           adjudicative guidelines.
                           loyalty.                    Lack of training.           Specifically address
                           Adjudicative decisions      Lack of oversight.          issues of race, religion
                           made without regard to      Lack of accountability.     and other civil-rights
                           Department's mission        “If you do not have         factors.
                           and often prejudicial to    standards, then you         Specifically tailor the
                           Department's mission.       cannot be held              standards to the core
                           High number of DS           accountable to follow       mission of the
                           determinations              them."                      Department of State.
                           overturned in appeal.       Management ignorance        Train adjudicators in the
                           Exposure to lawsuits        of regulations.             standards and hold them
                           and public                  Confusion between           accountable for
                           embarrassment.              discipline and security.    following them.
Compartmentalization       Lack of communication       Improper application of     Require greater
                           between DS elements         “need to know”              coordination between
                           impedes “whole person”      principles. Failure to      investigative and
                           analysis in adjudication.   evaluate who needs to       adjudicative sections.
                           Impedes both internal       know what.                  Require greater /
                           and external                Focus on “leak”             complete explanation of
                           coordination.               prevention rather than      cases to HR and M.
                           Lack of transparency        information gathering.      Provide complete
                           promotes lack of            Application of national     information to
                           accountability.             intelligence standards to   appropriately cleared
                           Promotes abuse and          non-intelligence            staff in HR and M.
                           illegal actions by          investigations.             Review clearance levels
                           individual agents.          Failure to balance risk-    to ensure sufficient HR
                           Compartmentalization        management principles       and M access to all
                           principles abused to        with operational            information.
                           prevent appropriate         requirements.               Require higher level
                           oversight by M and          Belief that secrecy is      review of any case
                           others.                     power.                      which could lead to
                           Bolsters “us vs them”                                   adverse actions.
Lack of accountability     Improper and illegal        Lack of independent         Independent review of
                           investigative actions.       oversight.                  all adverse action cases.
                           Fraudulent statements in     “Us vs Them” mentality      Make agents responsible
                           ROIs.                        in DS.                      for their actions. Punish
                           Use of illegal factors       True costs of               improper actions. Refer
                           such as race, religion,      investigations are not      illegal actions for
                           sexual orientation as a      captured.                   prosecution.
                           determinant of loyalty.      DS decision makers are      Provide HR and AFSA
                           Agents who consider          not held accountable for    with a mechanism to
                           themselves “above the        cost/resource               insert letters into the
                           law.”                        implications of their       files of errant
                           Leads to “fishing            decisions.                  investigators and
                           expeditions.”                Agents not held             adjudicators. Require
                           Protection of persons        accountable for their       them to do so.
                           who "snitch," even when      actions, free to violate    Identify all cost and
                           the "snitches" act           laws and regulations        resource parameters of
                           illegally.                   with impunity.              investigations. Charge
                                                        Institutional culture of    all costs to DS.
                                                        absolutes.                  Require 360 degree
                                                        Management reluctance       review of senior DS
                                                        to review cases.            staff.
Fishing expeditions        Investigations are           Desire to justify           Require independent
                           expanded far beyond          expenditure of              (non-DS) review prior
                           original allegations.        resources.                  to expanding any
                           Investigative time is        Reluctance to accept        investigation beyond
                           lengthened.                  employee innocence.         original scope.
                           Additional costs are         Definition of success as    Charge all investigative
                           incurred.                    finding of derogatory       costs, including
                                                        information. Regard         tangential costs, to DS.
                                                        failure to substantiate     Use “risk management’
                                                        allegations as “failure.”   criteria as the basis for
                                                        Agents rewarded based       any decision to expand
                                                        on number of “kills.”       an investigation beyond
                                                        Fear of making              its original scope.
                                                        decisions.                  Promote the idea of
                                                        Belief that “wherever       “truth finding” rather
                                                        there is smoke there is     than “guilt finding.”
Selective investigations   Investigations initiated     Reluctance to accept        Require higher level
                           based on frivolous           employee innocence.         review prior to initiating
                           allegations.                 No effort to verify         any investigation
                           Specific individuals         veracity/motives of         involving more than one
                           targeted.                    sources of allegations.     post.
                           Investigations conducted     No consequences to          Require independent
                           for reasons other than       sources of false            review prior to
                           security or discipline.      allegations.                expanding
                           Repeated targeting of        Fear of making              investigations into
                           certain individuals.         decisions.                  potential adverse action
                           Use of investigations to     No consideration of risk    cases.
                           punish dissenters/critics.   management factors.         Train employees in risk
                           Improper or illegal          DS decision makers are      management principles.
                           actions during the           not held accountable for    Charge all investigative
                           conduct of                   cost/resource               costs, including
                           investigations.              implications of their       tangential costs, to DS.
                           Biases and prejudicial       decisions.                  Punish the making of
                           investigative tactics.       Abuse of lower standard     false allegations.
                           Illegal search and           requirements for            Treat all wrongdoers,
                          seizure of private          administrative vs            including “snitches”
                          property.                   judicial investigations.     equally. Being a DS
                          Failure to investigate      Management ignorance         source should not
                          allegations of              of regulations.              provide anyone with
                          wrongdoing by                                            immunity from
                          “snitches.”                                              investigation.
Overlap between           Disciplinary issues         Reluctance to accept         Suitability
Security and Discipline   treated as the basis for    employee innocence.          determinations should
                          security clearance          Institutional                be made by HR, not DS.
                          decisions.                  preconceptions taken         DS agents should not be
                          Inability to distinguish    from military                allowed to even believe
                          between disciplinary        background of most new       that they have any role
                          matters and security        DS staff. Lack of            in this other than
                          issues.                     understanding of             investigating the facts.
                          Earlier disciplinary        difference between           The name of PSS should
                          cases used as basis to      Military Code of             be changed to make it
                          initiate security           Conduct and State            clear that DS agents are
                          investigations, or to       Department culture.          not empowered to make
                          justify unrelated           Lack of understanding        suitability
                          adjudicative                of responsibilities of DS    determinations.
                          determinations.             vs HR.                       Develop agency-
                          Clearance                   Lack of written              specific standards for
                          determinations that are     adjudicative standards.      interpreting and
                          really improperly made                                   applying the
                          suitability                                              Government-wide
                          determinations.                                          adjudicative guidelines.
EEO Issues                Use of illegal factors      Reluctance to accept         Mandatory independent
                          such as race, religion,     employee innocence.          review of all adverse
                          sexual orientation as a     Lack of oversight.           action cases.
                          determinant of loyalty.     Lack of accountability.      Mandatory annual EEO
                          Agents free to exercise     Lack of training.            and civil rights training.
                          personal prejudices and     Institutional culture that   Mandatory inclusion of
                          biases in national          identifies negative          EEO factors in
                          security decisions.         findings with success,       performance appraisals.
                                                      and positive findings        Mandatory inclusion of
                                                      with failure.                letters of reprimand,
                                                      Agents not held              issued by a review
                                                      accountable for their        panel, in the file of any
                                                      actions, free to violate     agent who, in the
                                                      laws and regulations         opinion of the panel,
                                                      with impunity.               uses improper factors in
                                                                                   his determinations.
                                                                                   Develop specialized
                                                                                   training for DS agents.
Failure to inform         State Department            Rules and regulations        Mandatory policy that if
Employees of the          employees unaware of        not clear.                   a rule is unpublished, or
regulations.              the rules and regulations   Rules and regulations        if it has not been
                          which affect their          not published, or            circulated within the
                          clearances.                 infrequently published.      past five years, it cannot
                          DS and FSOs play by         RSOs not carrying out        form the basis for a
                          separate sets of rules      their required duties to     security clearance
                          and assumptions.            inform their constituents    determination.
                          DS senior management        of new regulations.          Mandatory annual
                          promotes military           DS secrecy over certain      circulation of rules and
                          conduct requirements in     regulations.                 regulations.
                          DS determinations.          DS enforcement of            Mandatory training for
                        Enforcement of             "rules in progress" -       both DS and FSO
                        unwritten, unpublished     unwritten draft             employees.
                        rules.                     regulations.
Burden of Proof         Burden of proof, which     Reluctance to accept        Require DS agents to
                        should be on the agency,   employee innocence.         comply with federal
                        is being placed on the     Institutional culture       standards of evidence.
                        employee.                  which defines success as    Require independent
                        DS accepts                 the making of negative      review of adverse action
                        undocumented,              determinations, rewards     cases.
                        unproven allegations as    negative determinations,    Train DS and HR
                        fact (when they are        and views positive          employees in
                        negative).                 results as failures.        requirements for
                        DS does not require any    Lack of oversight and       evidence.
                        evidence to support its    accountability.             Require that DS
                        own position, but is       Lack of clear regulations   investigative files
                        aggressive and             defining minimal            comply with federal
                        prejudicial in attacking   standards for evidence.     guidelines.
                        evidence provided by       Ignorance outside of DS
                        the employee.              concerning investigative
                        Employee is considered     standards.
                        guilty until he/she
                        proves himself innocent.
Abuse of E.O. 10450     Vetting/ consultation      Lack of accountability      Greater oversight and
and other referrals     process abused by both     and oversight.              accountability.
between DS and          DS and M/MED.              Compartmentalization.       Early HR review of
M/MED. Abuse of joint   M/MED decisions made       Limited distribution of     adverse decisions.
M/MED and DS            without medical            information allows for      Recognition that
committees.             examination and/or         abuse.                      administrative decisions
                        based solely on DS         M/MED and DS both           made by M/MED staff
                        findings.                  increasingly used as a      are not "expert medical"
                        Referrals to M/MED         tool for back-door          decisions beyond the
                        abused as a tool to        termination of              understanding of non-
                        expand investigations,     “problem” employees.        medical personnel; they
                        seek additional            Reluctance by HR and        can and should be
                        derogatory information.    others to second-guess      reviewed by outside
                        Referrals to DS used as    "experts."                  reviewers.
                        a way to force             Roles not clearly           Follow CIA example of
                        “medical” curtailment.     defined.                    separating counseling
                        Abuse of RMOPs as          FOIA, PA and HIPAA          psychiatrists (who
                        “scouts” for DS.           viewed as impediments       provide psychological
                        FOIA, PA, HIPAA            to goal of removing         counseling and
                        violations.                “problem” employees         treatment) from
                        M/MED and DS               from service.               “psychometrists” (who
                        information shell game     Idea that primary           evaluate employees for
                        used to illegally hide     purpose of M/MED is to      suitability).
                        information from           protect the Department      Ensure greater
                        employees and HR.          from lawsuits.              transparency and
                                                   Immunity from               separation of MED and
                                                   grievance or appeal         DS functions.
                                                   reduces accountability      Allow appeal of
                                                   and professionalism.        procedural errors in
                                                                               M/MED and DS

Shared By: